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{\*\bkmkstart filing_1}{\*\bkmkend filing_1}{\*\bkmkstart doc_1_1}{\*\bkmkend doc_1_1}\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\b\qr Filed pursuant to Rule 424(b)(5)
\par\pard\plain\fs16\pard\plain\cf1\f51\fs20\b\qr Registration No. 333-224946\par\pard\plain\cf1\f51\fs20\b\qc \~\par\pard\plain\cf1\f51\fs20\b\ql PROSPECTUS SUPPLEMENT
\par\pard\plain\fs16\pard\plain\cf1\f51\fs20\b\ql (To Prospectus dated May 24, 2018)\par\pard\plain\cf1\f51\fs20\ql \~\par\qc{\*\shppict{\pict\pngblip\picw442\pich93\picscalex74\picscaley74\bliptag-2377121015
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\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\b\qc Biocept, Inc.\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\b\qc 990,000 Shares of Common Stock\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql We are offering 990,000 shares of our Common Stock, par value $0.0001 per share (the \u8220?Common Stock\u8221?) pursuant\plain\cf1\f51\fs20\ql to this prospectus supplement and accompanying prospectus.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Our Common Stock is traded on The Nasdaq Capital Market under the symbol \u8220?BIOC.\u8221? On January 17, 2019, the\plain\cf1\f51\fs20\ql last reported sale price of our Common Stock as reported on the Nasdaq Capital Market was $3.03 per share.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql As of the date of this prospectus supplement, the aggregate market value of our outstanding Common Stock held by\plain\cf1\f51\fs20\ql non-affiliates was approximately $14.3 million, based on 4,718,016 shares of outstanding Common Stock, of which\plain\cf1\f51\fs20\ql approximately 4.7 million shares were held by non-affiliates, and a price of $3.03 per share, which was the last reported sale\plain\cf1\f51\fs20\ql price of our Common Stock on The Nasdaq Capital Market on January 17, 2019. As of the date of this prospectus, we have sold\plain\cf1\f51\fs20\ql $2.5 million of securities pursuant to General Instruction I.B.6. of Form S-3 during the prior 12 calendar month period that ends\plain\cf1\f51\fs20\ql on, and includes, the date of this prospectus.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\b\ql Investing in our Common Stock involves a high degree of risk. Before buying any shares, you should carefully read the\plain\cf1\f51\fs20\b\ql discussion of material risks of investing in our Common Stock under the heading \u8220?\pard\plain\ul{\field{\*\fldinst HYPERLINK \\l "risk_factors_s_12646843" }{\*\fldrslt\cf3\f51\fs20\b\ql Risk Factors}}\plain\cf1\f51\fs20\b\ql \u8221? beginning on page S-5 of this prospectus supplement and the documents incorporated by reference herein and\plain\cf1\f51\fs20\b\ql page 4 of the accompanying prospectus.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We have engaged Maxim Group LLC to act as our lead placement agent and Dawson James Securities, Inc. to act as\plain\cf1\f51\fs20\ql co-placement agent in connection with this offering. The placement agents have agreed to use their reasonable best efforts to\plain\cf1\f51\fs20\ql place the securities offered by this prospectus supplement. We have agreed to pay the placement agents the fees set forth in the\plain\cf1\f51\fs20\ql table below.\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\b\qc Per Share\cell\pard\plain\intbl\ri22\cf1\f51\fs20\b\qc Total\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Public offering price\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2.25000\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2,227,500.00\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Placement agents fees\plain\intbl\ri22\cf1\f51\fs18\ql\super (1)\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 0.14625\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 144,787.50\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Proceeds, before expenses, to us\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2.10375\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2,082,712.50\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql (1)\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql In addition, we have agreed to reimburse the placement agents for certain offering-related expenses. See\plain\intbl\ri22\cf1\f51\fs20\ql \u8220?Plan of Distribution.\u8221?\cell{
{\trowd\cellx215\cellx1075\cellx10756\trrh495\row}}}\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\b\ql Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of\plain\cf1\f51\fs20\b\ql these securities or determined if this prospectus supplement or the accompanying prospectus is truthful or complete. Any\plain\cf1\f51\fs20\b\ql representation to the contrary is a criminal offense.\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\cf1\f51\fs20\qj Delivery of the shares of Common Stock is expected to be made on or about January 23, 2019, subject to customary closing\plain\cf1\f51\fs20\qj conditions.\par\pard\plain\cf1\f51\fs22\qj \~\par\pard\plain\cf1\f51\fs20\i\qc Lead Placement Agent\par\pard\plain\sb264\cf1\f51\fs22\qc \~\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\qc \~\par\pard\plain\cf1\f51\fs32\b\qc Maxim Group LLC\par\pard\plain\cf1\f51\fs22\qc \~\par\pard\plain\cf1\f51\fs20\i\qc Co-Placement Agent\par\pard\plain\cf1\f51\fs22\qc \~\par\pard\plain\cf1\f51\fs32\b\qc Dawson James Securities, Inc.\par\pard\plain\cf1\f51\fs22\qc \~\par\pard\plain\cf1\f51\fs22\qc \~\par\pard\plain\cf1\f51\fs20\qc The date of this prospectus supplement is January 18, 2019.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}
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\page\par\pard\plain\cf1\f51\fs20\b\qc TABLE OF CONTENTS\par\pard\plain\cf1\f51\fs20\b\qc PROSPECTUS SUPPLEMENT\par\pard\plain\cf1\f51\fs20\b\ql \~
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{\trowd\cellx9681\clvertalb\cellx10756\trrh248\row}}}\pard\plain\cf1\f51\fs20\b\ql \~\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\b\ql No dealer, salesperson or other person is authorized to give any information or to represent anything not contained in this\plain\cf1\f51\fs20\b\ql prospectus supplement or the accompanying prospectus. You must not rely on any unauthorized information or\plain\cf1\f51\fs20\b\ql representations. This prospectus supplement and the accompanying prospectus are an offer to sell only the securities\plain\cf1\f51\fs20\b\ql offered hereby, but only under circumstances and in jurisdictions where it is lawful to do so. The information contained\plain\cf1\f51\fs20\b\ql in this prospectus supplement and the accompanying prospectus is current only as of their respective dates.\par\pard\plain\cf1\f51\fs20\b\ql \~\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs22\qc \~\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart a_001_12646843}{\*\bkmkend a_001_12646843}\par\pard\plain\cf1\f51\fs20\b\qc ABOUT THIS PROSPECTUS SUPPLEMENT\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql This prospectus supplement and the accompanying prospectus are part of a registration statement that we filed with the U.S.\plain\cf1\f51\fs20\ql Securities and Exchange Commission utilizing a \u8220?shelf\u8221? registration process. This document is in two parts. The\plain\cf1\f51\fs20\ql first part is this prospectus supplement, which describes the specific terms of this offering and also adds to and updates\plain\cf1\f51\fs20\ql information contained in the accompanying prospectus and the documents incorporated by reference herein. The second part, the\plain\cf1\f51\fs20\ql accompanying prospectus, provides more general information. Generally, when we refer to this prospectus, we are referring to\plain\cf1\f51\fs20\ql both parts of this document combined. To the extent there is a conflict between the information contained in this prospectus\plain\cf1\f51\fs20\ql supplement and the information contained in the accompanying prospectus or any document incorporated by reference therein\plain\cf1\f51\fs20\ql filed prior to the date of this prospectus supplement, you should rely on the information in this prospectus supplement; provided\plain\cf1\f51\fs20\ql that if any statement in one of these documents is inconsistent with a statement in another document having a later date-for\plain\cf1\f51\fs20\ql example, a document incorporated by reference in the accompanying prospectus-the statement in the document having the later\plain\cf1\f51\fs20\ql date modifies or supersedes the earlier statement.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We further note that the representations, warranties and covenants made by us in any agreement that is filed as an exhibit to any\plain\cf1\f51\fs20\ql document that is incorporated by reference herein were made solely for the benefit of the parties to such agreement, including, in\plain\cf1\f51\fs20\ql some cases, for the purpose of allocating risk among the parties to such agreements, and should not be deemed to be a\plain\cf1\f51\fs20\ql representation, warranty or covenant to you. Moreover, such representations, warranties or covenants were accurate only as of the\plain\cf1\f51\fs20\ql date when made. Accordingly, such representations, warranties and covenants should not be relied on as accurately representing\plain\cf1\f51\fs20\ql the current state of our affairs.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql You should rely only on the information contained in this prospectus supplement or the accompanying prospectus, or\plain\cf1\f51\fs20\ql incorporated by reference herein. We have not authorized, and the placement agents have not authorized, anyone to provide you\plain\cf1\f51\fs20\ql with information that is different. The information contained in this prospectus supplement or the accompanying prospectus, or\plain\cf1\f51\fs20\ql incorporated by reference herein or therein is accurate only as of the respective dates thereof, regardless of the time of delivery\plain\cf1\f51\fs20\ql of this prospectus supplement and the accompanying prospectus or of any sale of our Common Stock. It is important for you to\plain\cf1\f51\fs20\ql read and consider all information contained in this prospectus supplement and the accompanying prospectus, including the\plain\cf1\f51\fs20\ql documents incorporated by reference herein and therein, in making your investment decision. You should also read and consider\plain\cf1\f51\fs20\ql the information in the documents to which we have referred you in the sections entitled \u8220?Where you can find more\plain\cf1\f51\fs20\ql information\u8221? and \u8220?Incorporation of certain information by reference\u8221? in this prospectus supplement and in\plain\cf1\f51\fs20\ql the accompanying prospectus, respectively.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We are offering to sell, and seeking offers to buy, the securities offered by this prospectus supplement only in jurisdictions\plain\cf1\f51\fs20\ql where offers and sales are permitted. The distribution of this prospectus supplement and the accompanying prospectus and the\plain\cf1\f51\fs20\ql offering of the securities offered by this prospectus supplement in certain jurisdictions may be restricted by law. Persons outside\plain\cf1\f51\fs20\ql the United States who come into possession of this prospectus supplement and the accompanying prospectus must inform\plain\cf1\f51\fs20\ql themselves about, and observe any restrictions relating to, the offering of the Common Stock and the distribution of this\plain\cf1\f51\fs20\ql prospectus supplement and the accompanying prospectus outside the United States. This prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying prospectus do not constitute, and may not be used in connection with, an offer to sell, or a solicitation of an offer\plain\cf1\f51\fs20\ql to buy, any securities offered by this prospectus supplement and the accompanying prospectus by any person in any jurisdiction\plain\cf1\f51\fs20\ql in which it is unlawful for such person to make such an offer or solicitation.\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart a_002_12646843}{\*\bkmkend a_002_12646843}\par\pard\plain\cf1\f51\fs20\ql All references in this prospectus supplement and the accompanying prospectus to \u8220?Biocept,\u8221? the\plain\cf1\f51\fs20\ql \u8220?Company,\u8221? \u8220?we,\u8221? \u8220?us,\u8221? \u8220?our,\u8221? or similar references refer to Biocept,\plain\cf1\f51\fs20\ql Inc., a Dela\plain\cf1\f51\fs20\ql ware corporation, and its subsidiaries taken as a whole, except where the context otherwise requires or as otherwise\plain\cf1\f51\fs20\ql indicated.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart prospectus_supplement_summary_12}{\*\bkmkend prospectus_supplement_summary_12}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-1\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc PROSPECTUS SUPPLEMENT SUMMARY\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\i\ql This summary highlights selected information about us, this offering and information appearing elsewhere in this prospectus\plain\cf1\f51\fs20\i\ql supplement, in the accompanying prospectus and in the documents incorporated by reference herein and therein. This summary\plain\cf1\f51\fs20\i\ql is not complete and does not contain all the information you should consider before investing in our securities pursuant to this\plain\cf1\f51\fs20\i\ql prospectus supplement and the accompanying prospectus. Before making an investment decision, to fully understand this offering\plain\cf1\f51\fs20\i\ql and its consequences to you, you should carefully read this entire prospectus supplement and the accompanying prospectus,\plain\cf1\f51\fs20\i\ql including \u8220?Risk Factors,\u8221? the financial statements, and related notes, and the other information incorporated by\plain\cf1\f51\fs20\i\ql reference herein and therein.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\b\ql Overview\par\pard\plain\sb132\cf1\f51\fs20\ql We are an early stage molecular oncology diagnostics company that develops and commercializes proprietary circulating tumor\plain\cf1\f51\fs20\ql cell, or CTC, and circulating tumor DNA, or ctDNA, assays utilizing a standard blood sample, or \u8220?liquid biopsy.\u8221?\plain\cf1\f51\fs20\ql Our current and planned assays are intended to provide information to aid healthcare providers to identify specific oncogenic\plain\cf1\f51\fs20\ql alterations that may qualify a subset of cancer patients for targeted therapy at diagnosis, progression or used for monitoring in\plain\cf1\f51\fs20\ql order to identify specific resistance mechanisms. Sometimes traditional procedures, such as surgical tissue biopsies, result in\plain\cf1\f51\fs20\ql tumor tissue that is insufficient and/or unable to provide the molecular subtype information necessary for clinical decisions. Our\plain\cf1\f51\fs20\ql assays, performed on blood, have the potential to provide more contemporaneous information on the characteristics of a\plain\cf1\f51\fs20\ql patient\u8217?s disease when compared with tissue biopsy and radiographic imaging.\par\pard\plain\sb264\cf1\f51\fs20\ql Our current assays and our planned future assays focus on key solid tumor indications utilizing our Target-Selector\plain\cf1\f51\fs15\ql\super TM\plain\cf1\f51\fs20\ql liquid\plain\cf1\f51\fs20\ql biopsy technology platform for the biomarker analysis of CTCs and ctDNA from a standard blood sample. Our patented\plain\cf1\f51\fs20\ql Target-Selector CTC offering is based on an internally developed microfluidics-based cell capture and analysis platform, with\plain\cf1\f51\fs20\ql enabling features that change how information provided by CTC testing is used by clinicians. Our CTC technology could also be\plain\cf1\f51\fs20\ql validated on cerebral spinal fluid in order to provide information for patients with central nervous system (CNS) tumors both\plain\cf1\f51\fs20\ql primary and metastatic. Our patented Target-Selector ctDNA technology enables detection of mutations and genome alterations\plain\cf1\f51\fs20\ql with enhanced sensitivity and specificity, and is applicable to nucleic acid from ctDNA, and could potentially be validated for\plain\cf1\f51\fs20\ql other sample types such as bone marrow, pleural effusions, ascitic fluid, tissue (surgical resections and/or biopsies) or\plain\cf1\f51\fs20\ql cerebrospinal fluid. Our Target-Selector CTC and ctDNA platforms provide both biomarker detection as well as monitoring\plain\cf1\f51\fs20\ql capabilities and require only a patient blood sample. We believe that our Target-Selector platform technology has the potential to\plain\cf1\f51\fs20\ql be developed and commercialized as in vitro diagnostic (IVD) test kits, and we are currently pursuing this strategy.\par\pard\plain\sb264\cf1\f51\fs20\ql At our corporate headquarters facility located in San Diego, California, we operate a clinical laboratory that is certified under the\plain\cf1\f51\fs20\ql Clinical Laboratory Improvement Amendments of 1988, or CLIA, and accredited by the College of American Pathologists, or\plain\cf1\f51\fs20\ql CAP. We also performed research and development that led to our current assays, and continue to perform research and\plain\cf1\f51\fs20\ql development for our planned assays, at this same facility. In addition, we manufacture our microfluidic channels, related\plain\cf1\f51\fs20\ql equipment and certain reagents. The assays we offer and intend to offer are classified as laboratory developed tests, or LDTs,\plain\cf1\f51\fs20\ql under CLIA regulations. CLIA certification is required before any clinical laboratory, including ours, may perform testing on\plain\cf1\f51\fs20\ql human specimens for the purpose of obtaining information for the diagnosis, prevention, or treatment of disease or the assessment\plain\cf1\f51\fs20\ql of health. In addition, we participate in and have received CAP accreditation, which includes rigorous biennial laboratory\plain\cf1\f51\fs20\ql inspections and adherence to specific quality standards.\par\pard\plain\sb264\cf1\f51\fs20\ql Our primary sales strategy is to engage medical oncologists and other physicians in the United States at private and group\plain\cf1\f51\fs20\ql practices, hospitals, laboratories and cancer centers. In addition, we market our clinical trial and research services to\plain\cf1\f51\fs20\ql pharmaceutical and biopharmaceutical companies and clinical research organizations. Additionally, commencing in October 2017,\plain\cf1\f51\fs20\ql our pathology partnership program, branded as Empower TC\plain\cf1\f51\fs15\ql\super TM\plain\cf1\f51\fs20\ql , provides the unique ability for pathologists to participate in the\plain\cf1\f51\fs20\ql interpretation of liquid biopsy results and is available to pathology practices and hospital systems throughout the United States.\plain\cf1\f51\fs20\ql Further, sales to laboratory supply distributors of our proprietary blood collection tubes, or BCTs, commenced during the three\plain\cf1\f51\fs20\ql months ended June 30, 2018, which allow for the intact transport of liquid biopsy samples for research use only, or RUO, from\plain\cf1\f51\fs20\ql regions around the world.\~\~We also plan to develop and market kits containing our patented and proprietary Target Selector\plain\cf1\f51\fs20\ql testing that can be sold to laboratories and researchers worldwide.\par\pard\plain\sb264\cf1\f51\fs20\qc S-2\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\ql Our revenue generating efforts are focused in three areas:
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql medical oncologists, surgical oncologists, pulmonologists, pathologists and other physicians who use the\plain\intbl\cf1\f51\fs20\ql biomarker information we provide in order to determine the best treatment plan for their patients;\cell{
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\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh900
\pard\plain\intbl\sb132\sa264\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\sa264\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql laboratory services utilizing both our CTC and ctDNA testing in order to help pharmaceutical and\plain\intbl\sa264\cf1\f51\fs20\ql biopharmaceutical companies developing drug candidate therapies to treat cancer; and\cell{
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\par\pard\plain
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\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql licensing and/or selling our proprietary testing and/or technologies, including our BCTs, to partners in the\plain\intbl\cf1\f51\fs20\ql United States and abroad.\~\cell{
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\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-3\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\ql THE OFFERING\par\pard\plain\cf1\f51\fs20\qc \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Issuer\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql Biocept, Inc.\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Common Stock offered by us in this offering\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 990,000 shares of our Common Stock, par value $0.0001 per\plain\intbl\ri22\cf1\f51\fs20\ql share.\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Offering price per share\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $2.25\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Common stock outstanding immediately before this offering\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 4,718,016 shares\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Common stock outstanding immediately after this offering\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 5,708,016 shares\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Use of proceeds\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql We estimate that our net proceeds from this offering will be\plain\intbl\ri22\cf1\f51\fs20\ql approximately $2.0 million after deducting estimated\plain\intbl\ri22\cf1\f51\fs20\ql placement agents fees and other estimated offering expenses\plain\intbl\ri22\cf1\f51\fs20\ql payable by us.\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql We plan to use the net proceeds of this offering for working\plain\intbl\ri22\cf1\f51\fs20\ql capital and general corporate purposes. See \u8220?Use of\plain\intbl\ri22\cf1\f51\fs20\ql Proceeds.\u8221?\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Dividend policy\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql We have not declared or paid any cash or other dividends on\plain\intbl\ri22\cf1\f51\fs20\ql our Common Stock, and we do not expect to declare or pay\plain\intbl\ri22\cf1\f51\fs20\ql any cash or other dividends in the foreseeable future. See\plain\intbl\ri22\cf1\f51\fs20\ql \u8220?Dividend Policy.\u8221?\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Risk factors\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql You should carefully read and consider the information\plain\intbl\ri22\cf1\f51\fs20\ql beginning on page S-5 of this prospectus supplement and\plain\intbl\ri22\cf1\f51\fs20\ql page 4 of the accompanying prospectus set forth under the\plain\intbl\ri22\cf1\f51\fs20\ql headings \u8220?Risk Factors\u8221? and all other\plain\intbl\ri22\cf1\f51\fs20\ql information set forth in this prospectus supplement, the\plain\intbl\ri22\cf1\f51\fs20\ql accompanying prospectus, and the documents incorporated\plain\intbl\ri22\cf1\f51\fs20\ql herein and therein by reference before deciding to invest in\plain\intbl\ri22\cf1\f51\fs20\ql our Common Stock.\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Nasdaq Capital Market symbol for Common Stock\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql BIOC.\cell{
{\trowd\cellx5256\cellx5544\cellx10800\trrh248\row}}}\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql The number of shares to be outstanding immediately before and immediately after this offering is based on 4,718,016 shares of\plain\cf1\f51\fs20\ql our Common Stock outstanding as of the date hereof and excludes the following as of September 30, 2018:\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql up to 1,548,105 shares of common stock issuable upon the conversion of Series A Convertible Preferred Stock\plain\intbl\sa132\cf1\f51\fs20\ql outstanding as of September 30, 2018;\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql 114,641 shares of our common stock issuable upon the exercise of stock options, with a weighted-average exercise\plain\intbl\sa132\cf1\f51\fs20\ql price of $72.02 per share;\cell{
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{\trowd\cellx321\cellx985\cellx10730\trrh382
\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql 360 shares of our common stock issuable upon the settlement of outstanding restricted stock units;\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql 4,814,927 shares of our common stock issuable upon the exercise of outstanding warrants, with a weighted-average\plain\intbl\sa132\cf1\f51\fs20\ql exercise price of $5.44 per share; and\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql 194,649 other shares of our common stock reserved for future issuance under our 2013 Amended and Restated\plain\intbl\sa132\cf1\f51\fs20\ql Equity Incentive Plan.\cell{
{\trowd\cellx321\cellx985\cellx10730\trrh630\row}}}\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart risk_factors_s_12646843}{\*\bkmkend risk_factors_s_12646843}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-4\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc RISK FACTORS\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\i\ql An investment in our Common Stock involves a high degree of risk. Before deciding whether to invest in our Common Stock, you\plain\cf1\f51\fs20\i\ql should consider carefully the risks described below and discussed under the section captioned \u8220?Risk Factors\u8221?\plain\cf1\f51\fs20\i\ql contained in our Annual Report on Form 10-K for the year ended December 31, 2017, in our Quarterly Reports on Form 10-Q\plain\cf1\f51\fs20\i\ql for the quarters ended March 31, 2018, June 30, 2018 and September 30, 2018, each of which incorporated by reference in this\plain\cf1\f51\fs20\i\ql prospectus supplement and the accompanying prospectus in its entirety, together with other information in this prospectus\plain\cf1\f51\fs20\i\ql supplement, the accompanying prospectus, the information and documents incorporated herein and therein by reference, and in\plain\cf1\f51\fs20\i\ql any free writing prospectus that we have authorized for use in connection with this offering. If any of these risks actually occurs,\plain\cf1\f51\fs20\i\ql our business, financial condition, results of operations or cash flow could be seriously harmed. This could cause the trading\plain\cf1\f51\fs20\i\ql price of our Common Stock to decline, resulting in a loss of all or part of your investment.\par\pard\plain\sb264\cf1\f51\fs20\b\ql Risks Related to This Offering\par\pard\plain\sb264\cf1\f51\fs20\b\i\ql Management will have broad discretion as to the use of the proceeds from this offering, and we may not use the proceeds\plain\cf1\f51\fs20\b\i\ql effectively.\par\pard\plain\sb264\cf1\f51\fs20\ql Our management will have broad discretion in the application of the net proceeds from this offering and could spend the\plain\cf1\f51\fs20\ql proceeds in ways that do not improve our results of operations or enhance the value of our Common Stock. Our failure to apply\plain\cf1\f51\fs20\ql these funds effectively could have a material adverse effect on our business and cause the price of our Common Stock to decline.\par\pard\plain\sb264\cf1\f51\fs20\b\i\ql You will experience immediate and substantial dilution in the net tangible book value per share of the Common Stock you\plain\cf1\f51\fs20\b\i\ql purchase.\par\pard\plain\sb264\cf1\f51\fs20\ql Since the price per share of our Common Stock being offered is substantially higher than the net tangible book value per share of\plain\cf1\f51\fs20\ql our Common Stock, you will suffer immediate and substantial dilution in the net tangible book value of the Common Stock you\plain\cf1\f51\fs20\ql purchase in this offering. Based on a public offering price of $2.25 per share, if you purchase shares of Common Stock in this\plain\cf1\f51\fs20\ql offering, you will suffer immediate and substantial dilution of $0.03 per share with respect to the net tangible book value of the\plain\cf1\f51\fs20\ql Common Stock. See the section entitled \u8220?Dilution\u8221? below for a more detailed discussion of the dilution you will\plain\cf1\f51\fs20\ql incur if you purchase Common Stock in this offering.\par\pard\plain\sb264\cf1\f51\fs20\b\i\ql You may experience future dilution as a result of future equity offerings and other issuances of our Common Stock or other\plain\cf1\f51\fs20\b\i\ql securities. In addition, this offering and future equity offerings and other issuances of our Common Stock or other securities\plain\cf1\f51\fs20\b\i\ql may adversely affect our Common Stock price.\par\pard\plain\sb264\cf1\f51\fs20\ql In order to raise additional capital, we may in the future offer additional shares of our Common Stock or other securities\plain\cf1\f51\fs20\ql convertible into or exchangeable for our Common Stock at prices that may not be the same as the price per share in this offering.\plain\cf1\f51\fs20\ql We cannot assure you that we will be able to sell shares or other securities in any other offering at a price per share that is equal\plain\cf1\f51\fs20\ql to or greater than the price per share paid by investors in this offering, and investors purchasing shares or other securities in the\plain\cf1\f51\fs20\ql future could have rights superior to existing stockholders. The price per share at which we sell additional shares of our Common\plain\cf1\f51\fs20\ql Stock or securities convertible into Common Stock in future transactions may be higher or lower than the price per share in this\plain\cf1\f51\fs20\ql offering.\par\pard\plain\sb264\cf1\f51\fs20\ql As of September 30, 2018, 1,548,105 shares of Common Stock were reserved for issuance upon the conversion of our Series A\plain\cf1\f51\fs20\ql Convertible Preferred Stock, 114,641 shares of Common Stock were reserved for issuance upon the exercise of options\plain\cf1\f51\fs20\ql outstanding, 360 shares of Common Stock were reserved for issuance upon the settlement of restricted stock awards outstanding,\plain\cf1\f51\fs20\ql 4,814,927 shares of Common Stock were reserved for issuance upon the exercise of warrants outstanding, and 194,649 shares of\plain\cf1\f51\fs20\ql Common Stock were reserved for future issuance under our stock incentive programs. You will incur dilution upon exercise of\plain\cf1\f51\fs20\ql any outstanding stock options, warrants or upon the issuance of shares of Common Stock under our stock incentive programs.\par\pard\plain\sb264\cf1\f51\fs20\ql In addition, the sale of shares in this offering and any future sales of a substantial number of shares of our Common Stock in the\plain\cf1\f51\fs20\ql public market, or the perception that such sales may occur, could adversely affect the price of our Common Stock. We cannot\plain\cf1\f51\fs20\ql predict the effect, if any, that market sales of those shares of Common Stock or the availability of those shares of Common Stock\plain\cf1\f51\fs20\ql for sale will have on the market price of our Common Stock.\par\pard\plain\sb264\cf1\f51\fs20\qc S-5\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb132\cf1\f51\fs20\b\i\ql The issuance of shares in this offering will result in\~adjustments\~to the exercise price of certain outstanding warrants which\plain\cf1\f51\fs20\b\i\ql will\~result in substantial dilution to the ownership interests of\~investors in this offering and\~our existing shareholders.\par\pard\plain\sb132\cf1\f51\fs20\ql As of the date of this prospectus supplement, there are outstanding warrants to purchase 4,694,943 shares of common stock at a\plain\cf1\f51\fs20\ql weighted average exercise price of $8.56 per share.\~ 1,095,153 of these warrants are exercisable at $3.16 per share and contain\plain\cf1\f51\fs20\ql full ratchet anti-dilution provisions which provide for the exercise price of the warrants to be adjusted in the event that we issue\plain\cf1\f51\fs20\ql additional shares of common stock below the exercise price of such warrants in effect on the date that we issue such additional\plain\cf1\f51\fs20\ql shares.\~ Based on the offering price of $2.25 per share, upon completion of this offering the exercise price of these warrants will\plain\cf1\f51\fs20\ql be reduced to $2.25.\~ This will result in substantial additional dilution to the ownership interests of investors in this offering\plain\cf1\f51\fs20\ql and\plain\cf1\f51\fs20\b\i\ql \~\plain\cf1\f51\fs20\ql our existing shareholders.\par\pard\plain\sb264\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart special_note_regarding_forwardlo}{\*\bkmkend special_note_regarding_forwardlo}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-6\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql This prospectus, supplement and the accompanying prospectus and the information incorporated by reference herein and therein\plain\cf1\f51\fs20\ql contain \u8220?forward-looking statements,\u8221? which include information relating to future events, future financial\plain\cf1\f51\fs20\ql performance, strategies, expectations, competitive environment and regulation. Words such as \u8220?may,\u8221?\plain\cf1\f51\fs20\ql \u8220?should,\u8221? \u8220?could,\u8221? \u8220?would,\u8221? \u8220?predicts,\u8221? \u8220?potential,\u8221?\plain\cf1\f51\fs20\ql \u8220?continue,\u8221? \u8220?expects,\u8221? \u8220?anticipates,\u8221? \u8220?future,\u8221? \u8220?intends,\u8221?\plain\cf1\f51\fs20\ql \u8220?plans,\u8221? \u8220?believes,\u8221? \u8220?estimates,\u8221? and similar expressions, as well as statements in future\plain\cf1\f51\fs20\ql tense, identify forward-looking statements. Forward-looking statements should not be read as a guarantee of future performance\plain\cf1\f51\fs20\ql or results and will probably not be accurate indications of when such performance or results will be achieved. Forward-looking\plain\cf1\f51\fs20\ql statements are based on information we have when those statements are made or our management\u8217?s good faith belief as of\plain\cf1\f51\fs20\ql that time with respect to future events, and are subject to risks and uncertainties that could cause actual performance or results to\plain\cf1\f51\fs20\ql differ materially from those expressed in or suggested by the forward-looking statements.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql You should review carefully the section entitled \u8220?Risk Factors\u8221? beginning on page S-5 of this prospectus\plain\cf1\f51\fs20\ql supplement and in our Annual Report on Form 10-K for the year ended December 31, 2017, in our Quarterly Reports on Form\plain\cf1\f51\fs20\ql 10-Q for the quarters ended March 31, 2018, June 30, 2018 and September 30, 2018, each of which is incorporated by reference,\plain\cf1\f51\fs20\ql for a discussion of risks that relate to our business and investing in our securities. The forward-looking statements contained or\plain\cf1\f51\fs20\ql incorporated by reference in this prospectus supplement are expressly qualified in their entirety by this cautionary statement. We\plain\cf1\f51\fs20\ql do not undertake any obligation to publicly update any forward-looking statement to reflect events or circumstances after the\plain\cf1\f51\fs20\ql date on which any such statement is made or to reflect the occurrence of unanticipated events.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\cf1\f51\fs20\ql \~{\*\bkmkstart use_proceeds_s_12646843}{\*\bkmkend use_proceeds_s_12646843}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-7\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc USE OF PROCEEDS\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql Based upon the public offering price of $2.25 per share of Common Stock, we estimate that the net proceeds from the sale of the\plain\cf1\f51\fs20\ql securities offered under this prospectus supplement, after deducting placement agents fees and commissions and estimated\plain\cf1\f51\fs20\ql offering expenses payable by us will be $2.0 million.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We intend to use the net proceeds from this offering for general corporate purposes, which may include research and\plain\cf1\f51\fs20\ql development expenses, capital expenditures, working capital and general and administrative expenses, and potential acquisitions\plain\cf1\f51\fs20\ql of or investments in businesses, products and technologies that complement our business, although we have no present\plain\cf1\f51\fs20\ql commitments or agreements to make any such acquisitions or investments as of the date of this prospectus supplement.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Investors are cautioned that the proceeds from this offering are expected to be sufficient to enable us to continue operations for\plain\cf1\f51\fs20\ql only a short period of time. We expect that we will have to raise such additional funds through the sale of additional equity or\plain\cf1\f51\fs20\ql equity backed securities. Any future equity or equity linked financing that we may need may not be able available on terms\plain\cf1\f51\fs20\ql favorable to us or at all.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Investors are cautioned, however, that expenditures may vary substantially from these uses. Investors will be relying on the\plain\cf1\f51\fs20\ql judgment of our management, who will have broad discretion regarding the application of the proceeds of this offering. The\plain\cf1\f51\fs20\ql amounts and timing of our actual expenditures will depend upon numerous factors, including the amount of cash generated by\plain\cf1\f51\fs20\ql our operations, the amount of competition we face and other operational factors. We may find it necessary or advisable to use\plain\cf1\f51\fs20\ql portions of the proceeds from this offering for other purposes.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Until we use the net proceeds of this offering, we will invest the funds in short-term, investment grade, interest-bearing\plain\cf1\f51\fs20\ql securities.\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart a_007_12646843}{\*\bkmkend a_007_12646843}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-8\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc PRICE RANGE OF OUR COMMON STOCK\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql On January 17, 2019, the closing price for our Common Stock as reported on The Nasdaq Capital Market was $3.03 per share.\plain\cf1\f51\fs20\ql The following table sets forth the ranges of high and low sales prices per share of our Common Stock as reported on The Nasdaq\plain\cf1\f51\fs20\ql Capital Market for the periods indicated. Such quotations represent inter-dealer prices without retail markup, markdown or\plain\cf1\f51\fs20\ql commission and may not necessarily represent actual transactions.\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell{
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\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\b\qc Common Stock\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell{
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\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\b\qc High\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell\pard\plain\intbl\cf1\f51\fs16\b\qc Low\cell\pard\plain\intbl\cf1\f51\fs16\ql \~\cell{
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\b\ql Fiscal Year Ended December 31, 2019\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell{
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql First Quarter (through January 17, 2019)\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 3.03\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 0.84\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\b\ql Fiscal Year Ended December 31, 2018\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell{
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Fourth Quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 2.95\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 0.66\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Third quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 12.15\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 2.59\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248\row}}}
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Second quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 9.30\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 5.10\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248\row}}}
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\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql First quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 24.60\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 7.50\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248\row}}}
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh272
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\b\ql Fiscal Year Ended December 31, 2017\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\cf1\f51\fs22\ql \~\cell{
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh272\row}}}
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Fourth quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 40.50\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 18.00\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248\row}}}
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Third quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 49.20\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 33.30\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248\row}}}
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql Second quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 67.80\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 37.20\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\clshdng100\clcfpat11\clcbpat11\cellx7293\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx7777\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8048\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx8851\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9018\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9502\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx9773\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10470\clvertalb\clshdng100\clcfpat11\clcbpat11\cellx10639\trrh248\row}}}
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248
\pard\plain\intbl\li220\fi-220\cf1\f51\fs20\ql First quarter\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 101.70\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\cf1\f51\fs20\qr 23.40\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\cellx7293\clvertalb\cellx7777\clvertalb\cellx8048\clvertalb\cellx8851\clvertalb\cellx9018\clvertalb\cellx9502\clvertalb\cellx9773\clvertalb\cellx10470\clvertalb\cellx10639\trrh248\row}}}\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql As of January 15, 2019, there were 44 stockholders of record of our Common Stock, which excludes stockholders whose shares\plain\cf1\f51\fs20\ql were held in nominee or street name by brokers. The actual number of Common Stockholders is greater than the number of\plain\cf1\f51\fs20\ql record holders, and includes stockholders who are beneficial owners, but whose shares are held in street name by brokers and\plain\cf1\f51\fs20\ql other nominees. This number of holders of record also does not include stockholders whose shares may be held in trust by other\plain\cf1\f51\fs20\ql entities.\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart dividend_policy_12646843}{\*\bkmkend dividend_policy_12646843}\par\pard\plain\cf1\f51\fs20\b\qc DIVIDEND POLICY\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql We have never declared dividends on our equity securities, and currently do not plan to declare dividends on shares of our\plain\cf1\f51\fs20\ql Common Stock in the foreseeable future. We expect to retain our future earnings, if any, for use in the operation and expansion\plain\cf1\f51\fs20\ql of our business. Subject to the foregoing, the payment of cash dividends in the future, if any, will be at the discretion of our\plain\cf1\f51\fs20\ql board of directors and will depend upon such factors as earnings levels, capital requirements, our overall financial condition and\plain\cf1\f51\fs20\ql any other factors deemed relevant by our board of directors.\~\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart dilution_12646843}{\*\bkmkend dilution_12646843}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-9\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc DILUTION\par\pard\plain\cf1\f51\fs20\b\qc \~\par\pard\plain\cf1\f51\fs20\ql If you invest in our Common Stock, your interest will be diluted to the extent of the difference between the price per share you\plain\cf1\f51\fs20\ql pay in this offering and the net tangible book value per share of our Common Stock immediately after this offering. Our net\plain\cf1\f51\fs20\ql tangible book value of our Common Stock as of September 30, 2018 was approximately $8.9 million, or approximately $2.27\plain\cf1\f51\fs20\ql per share of Common Stock based on 3,937,226 shares outstanding at that time. \u8220?Net tangible book value\u8221? is total\plain\cf1\f51\fs20\ql assets minus the sum of liabilities and intangible assets. \u8220?Net tangible book value per share\u8221? is net tangible book\plain\cf1\f51\fs20\ql value divided by the total number of shares outstanding.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql After giving effect to the sale of 990,000 shares of Common Stock in the aggregate amount of $2.2 million in this offering at a\plain\cf1\f51\fs20\ql public offering price of $2.25 per share of our Common Stock, and after deducting the placement agents fees and estimated\plain\cf1\f51\fs20\ql offering expenses payable by us, our net tangible book value as of September 30, 2018 would have been approximately $10.9\plain\cf1\f51\fs20\ql million, or approximately $2.22 per share of Common Stock based on 4,927,226 shares of Common Stock outstanding on a pro\plain\cf1\f51\fs20\ql forma basis at that time. This represents an immediate decrease in net tangible book value of $0.05 per share to our existing\plain\cf1\f51\fs20\ql stockholders and an immediate dilution of approximately $0.03 per share to new investors participating in this offering, as\plain\cf1\f51\fs20\ql illustrated by the following table:\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
{\trowd\trqc\clvertalc\cellx3937\clvertalc\cellx4383\clvertalc\cellx5681\clvertalc\cellx6042\clvertalc\cellx6403\clvertalc\cellx6849\clvertalc\cellx8147\clvertalc\cellx8512\trrh66\row}}}
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\pard\plain\intbl\cf1\f51\fs20\ql Offering price per share\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr 2.25\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\li660\fi-264\cf1\f51\fs20\ql Pro forma net tangible book value per\plain\intbl\li660\cf1\f51\fs20\ql share as of September 30, 2018\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr 2.27\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\li660\fi-264\cf1\f51\fs20\ql Decrease in pro forma net tangible book\plain\intbl\li660\cf1\f51\fs20\ql value per share to existing stockholders\plain\intbl\li660\cf1\f51\fs20\ql after this offering\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr (0.05)\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\li660\fi-264\cf1\f51\fs20\ql Pro forma net tangible book value per\plain\intbl\li660\cf1\f51\fs20\ql share after this offering\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr 2.22\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
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{\trowd\trqc\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx3937\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx4383\clbrdrb\brdrdb\brdrcf7\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx5681\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx6042\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx6403\clbrdrt\brdrs\brdrcf1\clbrdrb\brdrdb\brdrcf1\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx6849\clbrdrt\brdrs\brdrcf1\clbrdrb\brdrdb\brdrcf1\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx8147\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx8512\trrh495
\pard\plain\intbl\cf1\f51\fs20\ql Dilution in pro forma net tangible book value\plain\intbl\cf1\f51\fs20\ql per share to new investors\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qr 0.03\cell\pard\plain\intbl\cf1\f51\fs20\ql \~\cell{
{\trowd\trqc\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx3937\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx4383\clbrdrb\brdrdb\brdrcf7\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx5681\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx6042\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx6403\clbrdrt\brdrs\brdrcf1\clbrdrb\brdrdb\brdrcf1\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx6849\clbrdrt\brdrs\brdrcf1\clbrdrb\brdrdb\brdrcf1\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx8147\clbrdrb\brdrdb\brdrcf7\clshdng100\clcfpat10\clcbpat10\cellx8512\trrh495\row}}}\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql The discussion of dilution, and the table quantifying it, assume the sale of all shares covered by this prospectus supplement and\plain\cf1\f51\fs20\ql no exercise of any outstanding options or warrants or other potentially dilutive securities. The exercise of potentially dilutive\plain\cf1\f51\fs20\ql securities having an exercise price less than the offering price would increase the dilutive effect to new investors.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql In particular, the table above excludes the following securities as of September 30, 2018:\par\pard\plain\cf1\f51\fs22\ql \~
\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql up to 1,548,105 shares of common stock issuable upon the conversion of Series A Convertible Preferred Stock\plain\intbl\cf1\f51\fs20\ql outstanding as of September 30, 2018;\cell{
{\trowd\cellx756\cellx1512\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql 114,641 shares of our common stock issuable upon the exercise of stock options, with a weighted-average\plain\intbl\cf1\f51\fs20\ql exercise price of $72.02 per share;\cell{
{\trowd\cellx756\cellx1512\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql 360 shares of our common stock issuable upon the settlement of outstanding restricted stock units;\cell{
{\trowd\cellx756\cellx1512\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql 4,814,927 shares of our common stock issuable upon the exercise of outstanding warrants, with a\plain\intbl\cf1\f51\fs20\ql weighted-average exercise price of $5.44 per share; and\cell{
{\trowd\cellx756\cellx1512\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx756\cellx1512\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\ql 194,649 other shares of our common stock reserved for future issuance under our 2013 Amended and Restated\plain\intbl\cf1\f51\fs20\ql Equity Incentive Plan.\cell{
{\trowd\cellx756\cellx1512\cellx10800\trrh630\row}}}\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql To the extent that any of these options or warrants are exercised, new options are issued under our equity incentive plans and\plain\cf1\f51\fs20\ql subsequently exercised or we issue additional shares of Common Stock in the future, there will be further dilution to new\plain\cf1\f51\fs20\ql investors participating in this offering.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart plan_distribution_s_12646843}{\*\bkmkend plan_distribution_s_12646843}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-10\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc PLAN OF DISTRIBUTION\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql Maxim Group LLC has agreed to act as lead placement agent and Dawson James Securities, Inc. has agreed to act as\plain\cf1\f51\fs20\ql co-placement agent in connection with this offering subject to the terms and conditions of the placement agency agreement dated\plain\cf1\f51\fs20\ql January 18, 2019. We refer to Maxim Group LLC and Dawson James Securities, Inc. jointly as the placement agents. The\plain\cf1\f51\fs20\ql placement agents are not purchasing or selling any of the shares of our Common Stock offered by this prospectus supplement,\plain\cf1\f51\fs20\ql nor are they required to arrange the purchase or sale of any specific number or dollar amount of shares of our Common Stock,\plain\cf1\f51\fs20\ql but have agreed to use their reasonable best efforts to arrange for the sale of all of the shares of our Common Stock offered\plain\cf1\f51\fs20\ql hereby. Therefore, we will enter into a securities purchase agreement directly with investors in connection with this offering and\plain\cf1\f51\fs20\ql we may not sell the entire amount of shares of our Common Stock offered pursuant to this prospectus supplement. We will make\plain\cf1\f51\fs20\ql offers only to a limited number institutional accredited investors.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We have agreed to indemnify Maxim Group LLC and Dawson James Securities, Inc. against specified liabilities, including\plain\cf1\f51\fs20\ql liabilities under the Securities Act, and to contribute to payments Maxim Group LLC and Dawson James Securities may be\plain\cf1\f51\fs20\ql required to make in respect thereof.\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql As part of compensation for a prior financing, we previously agreed, until September 20, 2019, to grant Maxim Group LLC the\plain\cf1\f51\fs20\ql right of first refusal to act as lead managing underwriter and book runner and/or lead placement agent, with at least eighty\plain\cf1\f51\fs20\ql percent of the economics, and to grant Dawson James Securities, Inc. the right of first refusal to act as a co-placement agent or\plain\cf1\f51\fs20\ql underwriter or co-manager, with at least twenty percent of the economics, for any and all future equity, equity-linked or debt\plain\cf1\f51\fs20\ql offerings undertaken by us during such period.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Fees and Expenses\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We have agreed to pay the placement agents a placement agent fee equal to 6.5% of the aggregate purchase price of the shares\plain\cf1\f51\fs20\ql of our Common Stock sold in this offering. The following table shows the per share and total cash placement agents fees we will\plain\cf1\f51\fs20\ql pay to the placement agents in connection with the sale of the shares of our Common Stock offered pursuant to this prospectus\plain\cf1\f51\fs20\ql supplement and the accompanying prospectus, assuming the purchase of all of the shares offered hereby.\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\b\qc Per Share\cell\pard\plain\intbl\ri22\cf1\f51\fs20\b\qc \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\b\qc Total\cell\pard\plain\intbl\ri22\cf1\f51\fs20\qc \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Public offering price\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2.25000\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2,227,500.00\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Placement agents fees\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 0.14625\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 144,787.50\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
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\pard\plain\intbl\ri22\cf1\f51\fs20\ql Proceeds, before expenses, to us\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2.10375\cell\pard\plain\intbl\ri22\cf1\f51\fs22\ql \~\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql $\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql 2,082,712.50\cell\pard\plain\intbl\ri22\cf1\f51\fs20\ql \~\cell{
{\trowd\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx4289\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx4776\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx5287\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx6408\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx6895\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx7349\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx8651\clvertalb\clshdng100\clcfpat10\clcbpat10\cellx9051\trrh272\row}}}\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql In addition, we have agreed to reimburse Maxim Group LLC\u8217?s and Dawson James Securities, Inc.\u8217?s actual\plain\cf1\f51\fs20\ql out-of-pocket expenses up to $50,000, in the aggregate.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql We estimate that the total expenses of the offering payable by us, excluding the placement agents fees, will be approximately\plain\cf1\f51\fs20\ql $0.1 million.\par\pard\plain\cf1\f51\fs20\ql \~\~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\cf1\f51\fs20\ql The placement agents may be deemed to be underwriters within the meaning of Section 2(a)(11) of the Securities Act, and any\plain\cf1\f51\fs20\ql commissions received by them and any profit realized on the resale of the shares sold by them while acting as principal might be\plain\cf1\f51\fs20\ql deemed to be underwriting discounts or commissions under the Securities Act. As underwriters, the placement agents would be\plain\cf1\f51\fs20\ql required to comply with the requirements of the Securities Act and the Exchange Act, including, without limitation, Rule\plain\cf1\f51\fs20\ql 415(a)(4) under the Securities Act and Rule 10b-5 and Regulation M under the Exchange Act. These rules and regulations may\plain\cf1\f51\fs20\ql limit the timing of purchases and sales of shares by the placement agents acting as principal. Under these rules and regulations,\plain\cf1\f51\fs20\ql the placement agents:\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell{
{\trowd\clvertalc\cellx318\clvertalc\cellx982\clvertalc\cellx10730\trrh66\row}}}
{\trowd\cellx318\cellx982\cellx10730\trrh382
\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql may not engage in any stabilization activity in connection with our securities; and\cell{
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{\trowd\cellx318\cellx982\cellx10730\trrh630
\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql may not bid for or purchase any of our securities or attempt to induce any person to purchase any of our securities,\plain\intbl\sa132\cf1\f51\fs20\ql other than as permitted under the Exchange Act, until it has completed its participation in the distribution.\cell{
{\trowd\cellx318\cellx982\cellx10730\trrh630\row}}}{\*\bkmkstart _dv_c33_12646843}{\*\bkmkend _dv_c33_12646843}{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\cf1\f51\fs20\ql This prospectus supplement and the accompanying base prospectus may be made available in electronic format on websites or\plain\cf1\f51\fs20\ql through other online services maintained by the placement agent or by an affiliate. Other than this prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying base prospectus, the information on the placement agent\u8217?s website and any information contained in any\plain\cf1\f51\fs20\ql other website maintained by the placement agent is not part of this prospectus\par\pard\plain\sb264\cf1\f51\fs20\qc S-11\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql supplement and the accompanying base prospectus or the registration statement of which this prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying base prospectus form a part, has not been approved and/or endorsed by us or the placement agent, and should not\plain\cf1\f51\fs20\ql be relied upon by investors.\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _dv_c34_12646843}{\*\bkmkend _dv_c34_12646843}\par\pard\plain\cf1\f51\fs20\ql The foregoing does not purport to be a complete statement of the terms and conditions of the placement agent\u8217?s\plain\cf1\f51\fs20\ql engagement agreement and the securities purchase agreement. A copy of the securities purchase agreement with the purchasers is\plain\cf1\f51\fs20\ql included as an exhibit to our Current Report on Form 8-K that will be filed with the SEC and incorporated by reference into the\plain\cf1\f51\fs20\ql registration statement of which this prospectus supplement and the accompanying base prospectus form a part. See\plain\cf1\f51\fs20\ql \u8220?Information Incorporated by Reference\u8221? and \u8220?Where You Can Find More Information.\u8221?\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _dv_c35_12646843}{\*\bkmkend _dv_c35_12646843}{\*\bkmkstart _dv_m184_12646843}{\*\bkmkend _dv_m184_12646843}\par\pard\plain\cf1\f51\fs20\ql No action has been or will be taken in any jurisdiction (except in the United States) that would permit a public offering of the\plain\cf1\f51\fs20\ql securities offered by this prospectus supplement and accompanying base prospectus, or the possession, circulation or distribution\plain\cf1\f51\fs20\ql of this prospectus supplement and accompanying base prospectus or any other material relating to us or the securities offered\plain\cf1\f51\fs20\ql hereby in any jurisdiction where action for that purpose is required. Accordingly, the securities offered hereby may not be offered\plain\cf1\f51\fs20\ql or sold, directly or indirectly, and neither of this prospectus supplement and accompanying base prospectus nor any other offering\plain\cf1\f51\fs20\ql material or advertisements in connection with the securities offered hereby may be distributed or published, in or from any\plain\cf1\f51\fs20\ql country or jurisdiction except in compliance with any applicable rules and regulations of any such country or jurisdiction. The\plain\cf1\f51\fs20\ql placement agent may arrange to sell securities offered\plain\cf1\f51\fs20\ql by this prospectus supplement and accompanying base prospectus in\plain\cf1\f51\fs20\ql certain jurisdictions outside the United States, either directly or through affiliates, where they are permitted to do so.\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\ql The transfer agent and registrar for our Common Stock is Continental Stock Transfer & Trust Company. Its address is 17 Battery\plain\cf1\f51\fs20\ql Place, 8th Floor, New York, New York 10004 and its telephone number is (212) 509-4000.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Our Common Stock is traded on the Nasdaq Capital Market under the symbol \u8220?BIOC.\u8221?\par\pard\plain\cf1\f51\fs22\qc \~{\*\bkmkstart legal_matters_s_12646843}{\*\bkmkend legal_matters_s_12646843}\par\pard\plain\cf1\f51\fs20\b\qc LEGAL MATTERS\par\pard\plain\cf1\f51\fs20\qc \~\par\pard\plain\cf1\f51\fs20\ql The validity of the shares of Common Stock offered by this prospectus supplement has been passed upon for us by Cooley LLP.\plain\cf1\f51\fs20\ql Ellenoff Grossman & Schole LLP, New York, New York, is acting as counsel for the placement agents in connection with the\plain\cf1\f51\fs20\ql securities offered hereby.\par\pard\plain\cf1\f51\fs20\ql \~{\*\bkmkstart expert_12646843}{\*\bkmkend expert_12646843}\par\pard\plain\cf1\f51\fs20\b\qc EXPERTS\plain\cf1\f51\fs20\qc \~\par\pard\plain\sb220\cf1\f51\fs20\ql The financial statements, incorporated in this prospectus supplement by reference from our Annual Report on Form 10-K for the\plain\cf1\f51\fs20\ql year ended December 31, 2017, have been audited by Mayer Hoffman McCann P.C., an independent registered public accounting\plain\cf1\f51\fs20\ql firm, as stated in their reports, which are incorporated herein by reference. Such financial statements have been so incorporated in\plain\cf1\f51\fs20\ql reliance upon the reports of such firm given upon their authority as experts in accounting and auditing.{\*\bkmkstart where_you_can_find_more_informat}{\*\bkmkend where_you_can_find_more_informat}\par\pard\plain\sb220\cf1\f51\fs20\b\qc WHERE YOU CAN FIND MORE INFORMATION\par\pard\plain\sb220\cf1\f51\fs20\ql We have filed with the SEC a registration statement on Form S-3 under the Securities Act with respect to the shares of Common\plain\cf1\f51\fs20\ql Stock being offered by this prospectus supplement and the accompanying prospectus. This prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying prospectus do not contain all of the information in the registration statement and its exhibits. For further\plain\cf1\f51\fs20\ql information with respect to us and the Common Stock offered by this prospectus supplement and the accompanying prospectus,\plain\cf1\f51\fs20\ql we refer you to the registration statement and its exhibits. Statements contained in this prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying prospectus as to the contents of any contract or any other document referred to are not necessarily complete, and\plain\cf1\f51\fs20\ql in each instance, we refer you to the copy of the contract or other document filed as an exhibit to the registration statement. Each\plain\cf1\f51\fs20\ql of these statements is qualified in all respects by this reference.\par\pard\plain\sb264\cf1\f51\fs20\ql You can read our SEC filings, including the registration statement, over the Internet at the SEC\u8217?s website at\plain\cf1\f51\fs20\ql www.sec.gov\plain\cf1\f51\fs20\ql . You may also read and copy any document we file with the SEC at its public reference facilities at 100 F Street\plain\cf1\f51\fs20\ql NE, Washington, D.C. 20549. You may also obtain copies of these documents at prescribed rates by writing to the Public\plain\cf1\f51\fs20\ql Reference Section of the SEC at 100 F Street N.E., Washington, D.C. 20549. Please call the SEC at 1-800-SEC-0330 for\plain\cf1\f51\fs20\ql further information on the operation of the public reference facilities. You may also request a copy of these filings, at no cost, by\plain\cf1\f51\fs20\ql writing us at 5810 Nancy Ridge Drive, San Diego, California 92121 or telephoning us at (858) 320-8200.\par\pard\plain\sb264\cf1\f51\fs20\qc S-12\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\ql We are subject to the information and periodic reporting requirements of the Exchange Act, and we file periodic reports, proxy\plain\cf1\f51\fs20\ql statements and other information with the SEC. These periodic reports, proxy statements and other information are available for\plain\cf1\f51\fs20\ql inspection and copying at the public reference room and website of the SEC referred to above. We maintain a website at\plain\cf1\f51\fs20\ql http://www.biocept.com\plain\cf1\f51\fs20\ql . You may access our annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on\plain\cf1\f51\fs20\ql Form 8-K and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Exchange Act with the\plain\cf1\f51\fs20\ql SEC free of charge at our website as soon as reasonably practicable after such material is electronically filed with, or furnished\plain\cf1\f51\fs20\ql to, the SEC. The information contained in, or that can be accessed through, our website is not incorporated by reference in, and\plain\cf1\f51\fs20\ql is not part of, this prospectus supplement.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\cf1\f51\fs22\qc \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart incorp_certain_information_by_re}{\*\bkmkend incorp_certain_information_by_re}
\par\pard\plain\fs16\par\pard\plain\sb264\cf1\f51\fs20\qc S-13\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\qc INCORPORATION OF CERTAIN information BY REFERENCE\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql The SEC allows us to incorporate by reference the information and reports we file with it, which means that we can disclose\plain\cf1\f51\fs20\ql important information to you by referring you to these documents. The information incorporated by reference is an important part\plain\cf1\f51\fs20\ql of this prospectus supplement. We are incorporating by reference the documents listed below, which we have already filed with\plain\cf1\f51\fs20\ql the SEC:\par\pard\plain\cf1\f51\fs20\ql \~
\par\pard\plain
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\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql our Annual Report on Form 10-K and Amendment No.1 to our Annual Report on Form 10-K/A for the year ended\plain\intbl\sa132\cf1\f51\fs20\ql December 31, 2017, filed on March 28, 2018 and April 30, 2018, respectively;\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql our Quarterly Reports on Form 10-Q for the quarters ended March 31, 2018, June 30, 2018 and September 30, 2018\plain\intbl\sa132\cf1\f51\fs20\ql filed on May 15, 2018, August 14, 2018 and November 14, 2018, respectively;\cell{
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\pard\plain\intbl\sa132\cf1\f51\fs20\ql \~\cell\pard\plain\intbl\sa132\cf1\f51\fs20\ql \u8226?\cell\pard\plain\intbl\cf1\f51\fs20\ql the description of our Common Stock, which is registered under Section 12 of the Exchange Act, in our registration\plain\intbl\cf1\f51\fs20\ql statement on Form 8-A, filed with the SEC on January 28, 2014, including any amendments or reports filed for the\plain\intbl\sa132\cf1\f51\fs20\ql purpose of updating such description.\cell{
{\trowd\cellx321\cellx985\cellx10730\trrh878\row}}}\pard\plain\cf1\f51\fs20\ql Upon request, we will provide, without charge, to each person, including any beneficial owner, to whom a copy of this\plain\cf1\f51\fs20\ql prospectus supplement is delivered a copy of the documents incorporated by reference into this prospectus supplement. You may\plain\cf1\f51\fs20\ql request a copy of these filings, and any exhibits we have specifically incorporated by reference as an exhibit in this prospectus\plain\cf1\f51\fs20\ql supplement, at no cost by writing or telephoning us at the following address:\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql Biocept, Inc.\par\pard\plain\cf1\f51\fs20\ql 5810 Nancy Ridge Drive\par\pard\plain\cf1\f51\fs20\ql San Diego, California 92121\par\pard\plain\cf1\f51\fs20\ql Telephone: (858) 320-8200\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql You also may access these filings on our Internet site at\plain\cf1\f51\fs20\ql http://biocept.com\plain\cf1\f51\fs20\ql . Our web site and the information contained on that\plain\cf1\f51\fs20\ql site, or connected to that site, are not incorporated into this prospectus supplement, the accompanying prospectus or the\plain\cf1\f51\fs20\ql registration statement.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql This prospectus supplement and the accompanying prospectus are part of a registration statement we filed with the SEC. We have\plain\cf1\f51\fs20\ql incorporated exhibits into this registration statement. You should read the exhibits carefully for provisions that may be important\plain\cf1\f51\fs20\ql to you.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql You should rely only on the information incorporated by reference or provided in this prospectus supplement and the\plain\cf1\f51\fs20\ql accompanying prospectus. We have not authorized anyone to provide you with different information. We are not making an offer\plain\cf1\f51\fs20\ql of these securities in any state where the offer is not permitted. You should not assume that the information in this prospectus\plain\cf1\f51\fs20\ql supplement and the accompanying prospectus or in the documents incorporated by reference is accurate as of any date other than\plain\cf1\f51\fs20\ql the date on the front of this prospectus supplement or those documents.\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\ql \~\par\pard\plain\sb264\cf1\f51\fs20\qc S-14\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs20\b\ql PROSPECTUS\par\qc\sb264{\*\shppict{\pict\pngblip\picw443\pich95\picscalex74\picscaley74\bliptag-2377121015
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\par\pard\plain\sb264\sa220\cf1\f51\fs20\b\qc $50,000,000\par\pard\plain\sb264\cf1\f51\fs20\b\qc Common Stock\par\pard\plain\cf1\f51\fs20\b\qc Preferred Stock\par\pard\plain\cf1\f51\fs20\b\qc Debt Securities\par\pard\plain\cf1\f51\fs20\b\qc Warrants\par\pard\plain\sb264\fi616\cf1\f51\fs20\qj From time to time, we may offer up to $50,000,000 of any combination of the securities described in this prospectus in\plain\cf1\f51\fs20\qj one or more offerings. We may also offer securities as may be issuable upon conversion, redemption, repurchase, exchange or\plain\cf1\f51\fs20\qj exercise of any securities registered hereunder, including any applicable antidilution provisions.\par\pard\plain\sb264\fi616\cf1\f51\fs20\qj This prospectus provides a general description of the securities we may offer.\~\~Each time we offer securities, we will\plain\cf1\f51\fs20\qj provide specific terms of the securities offered in a supplement to this prospectus.\~\~We may also authorize one or more free\plain\cf1\f51\fs20\qj writing prospectuses to be provided to you in connection with these offerings.\~\~The prospectus supplement and any related free\plain\cf1\f51\fs20\qj writing prospectus may also add, update or change information contained in this prospectus.\~\~You should carefully read this\plain\cf1\f51\fs20\qj prospectus, the applicable prospectus supplement and any related free writing prospectus, as well as any documents incorporated\plain\cf1\f51\fs20\qj by reference, before you invest in any of the securities being offered.\~\~\par\pard\plain\sb264\fi616\cf1\f51\fs20\b\qj This prospectus may not be used to consummate a sale of any securities unless accompanied by a prospectus\plain\cf1\f51\fs20\b\qj supplement.\par\pard\plain\sb264\fi616\cf1\f51\fs20\qj Our common stock is traded on the Nasdaq Capital Market under the symbol \u8220?BIOC.\u8221? On May 23, 2018, the\plain\cf1\f51\fs20\qj last reported sales price of our common stock was $0.1802 per share.\plain\cf1\f51\fs20\b\qj \~\~\plain\cf1\f51\fs20\qj The applicable prospectus supplement will contain\plain\cf1\f51\fs20\qj information, where applicable, as to any other listing on the Nasdaq Capital Market or any securities market or other exchange of\plain\cf1\f51\fs20\qj the securities, if any, covered by the prospectus supplement.\par\pard\plain\sb264\fi616\cf1\f51\fs20\qj We will sell these securities directly to investors, through agents designated from time to time or to or through\plain\cf1\f51\fs20\qj underwriters or dealers, on a continuous or delayed basis. For additional information on the methods of sale, you should refer to\plain\cf1\f51\fs20\qj the section entitled \u8220?Plan of Distribution\u8221? in this prospectus.\~\~If any agents or underwriters are involved in the sale\plain\cf1\f51\fs20\qj of any securities with respect to which this prospectus is being delivered, the names of such agents or underwriters and any\plain\cf1\f51\fs20\qj applicable fees, commissions, discounts or over-allotment options will be set forth in a prospectus supplement.\~\~The price to the\plain\cf1\f51\fs20\qj public of such securities and the net proceeds we expect to receive from such sale will also be set forth in a prospectus\plain\cf1\f51\fs20\qj supplement.\~\~\par\pard\plain\sa132\cf1\f51\fs18\qc __________________________________________\par\pard\plain\fi616\cf1\f51\fs20\b\i\qj Investing in our securities involves a high degree of risk. You should review carefully the risks and uncertainties\plain\cf1\f51\fs20\b\i\qj described under the heading \u8220?Risk Factors\u8221? contained in the applicable prospectus supplement and any related\plain\cf1\f51\fs20\b\i\qj free writing prospectus, and under similar headings in the other documents that are incorporated by reference into this\plain\cf1\f51\fs20\b\i\qj prospectus.\par\pard\plain\sa132\cf1\f51\fs18\qc __________________________________________\par\pard\plain\fi616\cf1\f51\fs20\b\qj NEITHER THE SECURITIES AND EXCHANGE COMMISSION NOR ANY STATE SECURITIES\plain\cf1\f51\fs20\b\qj COMMISSION HAS APPROVED OR DISAPPROVED OF THESE SECURITIES OR DETERMINED IF THIS\plain\cf1\f51\fs20\b\qj PROSPECTUS IS TRUTHFUL OR COMPLETE.\~\~ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL\plain\cf1\f51\fs20\b\qj OFFENSE.\par\pard\plain\cf1\f51\fs18\qc __________________________________________\par\pard\plain\cf1\f51\fs20\qc The date of this prospectus is May 24, 2018.\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs22\qc \~\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\cf1\f51\fs20\b\qc TABLE OF CONTENTS\par\pard\plain\cf1\f51\fs22\ql \~
\par\pard\plain
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{\trowd\cellx10372\cellx10478\clvertalb\cellx10800\trrh248\row}}}\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sa220\cf1\f51\fs22\qc \~\par\pard\plain\sb264\cf1\f51\fs22\ql \~\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart about_this_prospectus_12646843}{\*\bkmkend about_this_prospectus_12646843}\par\pard\plain\cf1\f51\fs20\b\qc ABOUT THIS PROSPECTUS\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql This prospectus is a part of a registration statement on Form S-3 that we filed with the Securities and Exchange\plain\cf1\f51\fs20\ql Commission, or SEC, utilizing a \u8220?shelf\u8221? registration process. Under this shelf registration process, we may sell any\plain\cf1\f51\fs20\ql combination of the securities described in this prospectus in one or more offerings up to a total aggregate offering price of\plain\cf1\f51\fs20\ql $50,000,000. This prospectus provides you with a general description of the securities we may offer.\~\~\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Each time we sell securities under this prospectus, we will provide a prospectus supplement that will contain specific\plain\cf1\f51\fs20\ql information about the terms of that offering.\~\~We may also authorize one or more free writing prospectuses to be provided to you\plain\cf1\f51\fs20\ql that may contain material information relating to these offerings.\~\~The prospectus supplement and any related free writing\plain\cf1\f51\fs20\ql prospectus that we may authorize to be provided to you may also add, update or change information contained in this prospectus\plain\cf1\f51\fs20\ql or in any documents that we have incorporated by reference into this prospectus.\~\~You should read this prospectus, any applicable\plain\cf1\f51\fs20\ql prospectus supplement and any related free writing prospectus, together with the information incorporated herein by reference as\plain\cf1\f51\fs20\ql described under the heading \u8220?Incorporation of Certain Information by Reference,\u8221? before investing in any of the\plain\cf1\f51\fs20\ql securities offered.\par\pard\plain\sb264\fi528\cf1\f51\fs20\b\ql THIS PROSPECTUS MAY NOT BE USED TO CONSUMMATE A SALE OF SECURITIES UNLESS IT IS\plain\cf1\f51\fs20\b\ql ACCOMPANIED BY A PROSPECTUS SUPPLEMENT.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Neither we, nor any agent, underwriter or dealer has authorized any person to give any information or to make any\plain\cf1\f51\fs20\ql representation other than those contained or incorporated by reference in this prospectus, any applicable prospectus supplement or\plain\cf1\f51\fs20\ql any related free writing prospectus prepared by or on behalf of us or to which we have referred you. This prospectus, any\plain\cf1\f51\fs20\ql applicable supplement to this prospectus or any related free writing prospectus do not constitute an offer to sell or the solicitation\plain\cf1\f51\fs20\ql of an offer to buy any securities other than the registered securities to which they relate, nor do this prospectus, any applicable\plain\cf1\f51\fs20\ql supplement to this prospectus or any related free writing prospectus constitute an offer to sell or the solicitation of an offer to\plain\cf1\f51\fs20\ql buy securities in any jurisdiction to any person to whom it is unlawful to make such offer or solicitation in such jurisdiction.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql You should not assume that the information contained in this prospectus, any applicable prospectus supplement or any\plain\cf1\f51\fs20\ql related free writing prospectus is accurate on any date subsequent to the date set forth on the front of the document or that any\plain\cf1\f51\fs20\ql information we have incorporated by reference is correct on any date subsequent to the date of the document incorporated by\plain\cf1\f51\fs20\ql reference, even though this prospectus, any applicable prospectus supplement or any related free writing prospectus is delivered,\plain\cf1\f51\fs20\ql or securities are sold, on a later date.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql This prospectus contains summaries of certain provisions contained in some of the documents described herein, but\plain\cf1\f51\fs20\ql reference is made to the actual documents for complete information. All of the summaries are qualified in their entirety by the\plain\cf1\f51\fs20\ql actual documents. Copies of some of the documents referred to herein have been filed, will be filed or will be incorporated by\plain\cf1\f51\fs20\ql reference as exhibits to the registration statement of which this prospectus is a part, and you may obtain copies of those\plain\cf1\f51\fs20\ql documents as described below under the heading \u8220?Where You Can Find More Information.\u8221?\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sa220\cf1\f51\fs22\qj \~\par\pard\plain\sa220\cf1\f51\fs22\qj \~\par\pard\plain\sb264\cf1\f51\fs20\qc i\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\li89\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart summary_12646843}{\*\bkmkend summary_12646843}\par\pard\plain\sa220\cf1\f51\fs18\b\qc SUMMARY\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql This summary highlights selected information from this prospectus and does not contain all of the information that you\plain\cf1\f51\fs20\ql need to consider in making your investment decision. You should carefully read the entire prospectus, the applicable prospectus\plain\cf1\f51\fs20\ql supplement and any related free writing prospectus, including the risks of investing in our securities discussed under the\plain\cf1\f51\fs20\ql heading \u8220?Risk Factors\u8221? contained in the applicable prospectus supplement and any related free writing prospectus,\plain\cf1\f51\fs20\ql and under similar headings in the other documents that are incorporated by reference into this prospectus. You should also\plain\cf1\f51\fs20\ql carefully read the information incorporated by reference into this prospectus, including our financial statements, and the\plain\cf1\f51\fs20\ql exhibits to the registration statement of which this prospectus is a part.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Unless the context indicates otherwise, as used in this prospectus, the terms \u8220?Biocept,\u8221? \u8220?the\plain\cf1\f51\fs20\ql Company,\u8221? \u8220?we,\u8221? \u8220?us\u8221? and \u8220?our\u8221? refer to Biocept, Inc., a Delaware corporation.\par\pard\plain\sb396\cf1\f51\fs20\b\qc Company Overview\par\pard\plain\sb264\fi770\cf1\f51\fs20\ql We are an early stage molecular oncology diagnostics company that develops and commercializes proprietary\plain\cf1\f51\fs20\ql circulating tumor cell, or CTC, and circulating tumor DNA, or ctDNA, assays utilizing a standard blood sample, or\plain\cf1\f51\fs20\ql \u8220?liquid biopsy.\u8221? Our current and planned assays are intended to provide information to aid healthcare providers to\plain\cf1\f51\fs20\ql identify specific oncogenic alterations that may qualify a subset of cancer patients for targeted therapy at diagnosis, progression\plain\cf1\f51\fs20\ql or for monitoring in order to identify specific resistance mechanisms. Sometimes traditional procedures, such as surgical tissue\plain\cf1\f51\fs20\ql biopsies, result in tumor tissue that is insufficient and/or unable to provide the molecular subtype information necessary for\plain\cf1\f51\fs20\ql clinical decisions. Our assays, performed on blood, have the potential to provide more contemporaneous information on the\plain\cf1\f51\fs20\ql characteristics of a patient\u8217?s disease when compared with tissue biopsy and radiographic imaging.\par\pard\plain\sb264\fi770\cf1\f51\fs20\ql Our current assays and our planned future assays focus on key solid tumor indications utilizing our Target-Selector\plain\cf1\f51\fs15\ql\super TM\plain\cf1\f51\fs20\ql liquid biopsy technology platform for the biomarker analysis of CTCs and ctDNA from a standard blood sample. Our patented\plain\cf1\f51\fs20\ql Target-Selector CTC offering is based on an internally developed microfluidics-based cell capture and analysis platform, with\plain\cf1\f51\fs20\ql enabling features that change how information provided by CTC testing is used by clinicians. Our CTC technology could also\plain\cf1\f51\fs20\ql be validated on cerebral spinal fluid in order to provide information for patients with leptomeningeal disease. Our patented\plain\cf1\f51\fs20\ql Target-Selector ctDNA technology enables detection of mutations and genome alterations with enhanced sensitivity and\plain\cf1\f51\fs20\ql specificity, and is applicable to nucleic acid from ctDNA, and could potentially be validated for other sample types such as\plain\cf1\f51\fs20\ql bone marrow, tissue or cerebrospinal fluid. Our Target-Selector CTC and ctDNA platforms provide both biomarker detection\plain\cf1\f51\fs20\ql as well as monitoring capabilities and require only a patient blood sample. We believe that our Target-Selector platform\plain\cf1\f51\fs20\ql technology has the potential to be developed and commercialized as in vitro diagnostic (IVD) test kits, and we are currently\plain\cf1\f51\fs20\ql pursuing this strategy.\par\pard\plain\sb264\fi770\cf1\f51\fs20\ql At our corporate headquarters facility located in San Diego, California, we operate a clinical laboratory that is certified\plain\cf1\f51\fs20\ql under the Clinical Laboratory Improvement Amendments of 1988, or CLIA, and accredited by the College of American\plain\cf1\f51\fs20\ql Pathologists, or CAP. We also performed research and development that led to our current assays, and continue to perform\plain\cf1\f51\fs20\ql research and development for our planned assays, at this same facility. In addition, we manufacture our microfluidic channels,\plain\cf1\f51\fs20\ql related equipment and certain reagents. The assays we offer and intend to offer are classified as laboratory developed tests, or\plain\cf1\f51\fs20\ql LDTs, under CLIA regulations. CLIA certification is required before any clinical laboratory, including ours, may perform\plain\cf1\f51\fs20\ql testing on human specimens for the purpose of obtaining information for the diagnosis, prevention, or treatment of disease or\plain\cf1\f51\fs20\ql the assessment of health. In addition, we participate in and have received CAP accreditation, which includes rigorous bi-annual\plain\cf1\f51\fs20\ql laboratory inspections and adherence to specific quality standards.\par\pard\plain\sb264\fi770\cf1\f51\fs20\ql Our primary sales strategy is to engage medical oncologists and other physicians in the United States at private and\plain\cf1\f51\fs20\ql group practices, hospitals and cancer centers. In addition, we market our clinical trial and research services to pharmaceutical\plain\cf1\f51\fs20\ql and biopharmaceutical companies and clinical research organizations. Additionally, commencing in October 2017, our\plain\cf1\f51\fs20\ql pathology partnership program, branded as Empower TC\plain\cf1\f51\fs15\ql\super TM\plain\cf1\f51\fs20\ql , provides the unique ability for pathologists to participate in the\plain\cf1\f51\fs20\ql interpretation of liquid biopsy results and is available to pathology practices and hospital systems throughout the United States.\plain\cf1\f51\fs20\ql Further, sales to laboratory supply distributors of our proprietary blood collection tubes commenced during the three months\plain\cf1\f51\fs20\ql ending June 30, 2018, which allow for the intact transport of liquid biopsy samples for research use only from regions around\plain\cf1\f51\fs20\ql the world.\par\pard\plain\sb396\cf1\f51\fs20\b\qc Corporate Information\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We maintain our principal executive offices at 5810 Nancy Ridge Drive, San Diego, California 92121. Our telephone\plain\cf1\f51\fs20\ql number is (858) 320-8200 and our website address is www.biocept.com. The information contained in, or that can be accessed\plain\cf1\f51\fs20\ql through, our website is not incorporated into and is not part of this prospectus. We were incorporated in California on May 12,\plain\brdrb\brdrs\cf1\f51\fs20\ql 1997 and reincorporated as a Delaware corporation on July 30, 2013.\par\pard\plain\sb264\cf1\f51\fs20\qc 1\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\li89\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We are an \u8220?emerging growth company,\u8221? as defined in the Jumpstart Our Business Startups Act of 2012. We\plain\cf1\f51\fs20\ql will remain an emerging growth company until the earlier of (a) December 31, 2019, (b) the last day of the fiscal year in\plain\cf1\f51\fs20\ql which we have total annual gross revenue of at least $1.07 billion, (c) the last day of the fiscal year in which we are deemed\plain\cf1\f51\fs20\ql to be a large accelerated filer, which means the market value of our common stock that is held by non-affiliates exceeds\plain\cf1\f51\fs20\ql $700.0 million as of the prior June 30\plain\cf1\f51\fs14\ql\super th\plain\cf1\f51\fs20\ql and (d) the date on which we have issued more than $1.0 billion in non-convertible\plain\cf1\f51\fs20\ql debt during the prior three-year period.\par\pard\plain\sb396\cf1\f51\fs20\b\qc The Securities We May Offer\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may offer shares of our common stock and preferred stock, various series of debt securities and warrants to purchase\plain\cf1\f51\fs20\qj any of such securities, up to a total aggregate offering price of $50,000,000 from time to time in one or more offerings under\plain\cf1\f51\fs20\qj this prospectus, together with any applicable prospectus supplement and any related free writing prospectus, at prices and on\plain\cf1\f51\fs20\qj terms to be determined by market conditions at the time of the relevant offering.\~\~This prospectus provides you with a general\plain\cf1\f51\fs20\qj description of the securities we may offer.\~\~Each time we offer a type or series of securities under this prospectus, we will\plain\cf1\f51\fs20\qj provide a prospectus supplement that will describe the specific amounts, prices and other important terms of the securities,\plain\cf1\f51\fs20\qj including, to the extent applicable:
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{\trowd\cellx955\cellx1639\cellx10620\trrh382\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj The prospectus supplement and any related free writing prospectus that we may authorize to be provided to you may also\plain\cf1\f51\fs20\qj add, update or change information contained in this prospectus or in documents we have incorporated by reference.\~\~However,\plain\cf1\f51\fs20\qj no prospectus supplement or free writing prospectus will offer a security that is not registered and described in this prospectus\plain\cf1\f51\fs20\qj at the time of the effectiveness of the registration statement of which this prospectus is a part.\~\~\par\pard\plain\sb264\fi528\cf1\f51\fs20\b\qj This prospectus may not be used to consummate a sale of securities unless it is accompanied by a prospectus\plain\cf1\f51\fs20\b\qj supplement.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may sell the securities directly to investors or through underwriters, dealers or agents.\~\~We, and our underwriters or\plain\cf1\f51\fs20\qj agents, reserve the right to accept or reject all or part of any proposed purchase of securities.\~\~If we do offer securities through\plain\cf1\f51\fs20\qj underwriters or agents, we will include in the applicable prospectus supplement:
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{\trowd\cellx955\cellx1639\cellx10620\trrh382\row}}}{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\sb264\fi528\cf1\f51\fs20\b\i\ql Common Stock\plain\cf1\f51\fs20\ql .\~\~We may issue shares of our common stock from time to time. Holders of our common stock are\plain\cf1\f51\fs20\ql entitled to one vote per share in the election of directors and on all other matters on which stockholders are entitled or\plain\cf1\f51\fs20\ql permitted to vote. Holders of our common stock are not entitled to cumulative voting rights. Subject to the terms of any then\plain\cf1\f51\fs20\ql outstanding series of preferred stock, the holders of our common stock are entitled to dividends in the amounts and at times as\plain\cf1\f51\fs20\ql may be declared by the board of directors out of funds legally available therefor. Upon liquidation or dissolution, holders of\plain\cf1\f51\fs20\ql our common stock are entitled to share ratably in all net assets available for distribution to stockholders after we have paid, or\plain\cf1\f51\fs20\ql provided for payment of, all of our debts and liabilities, and after payment of any liquidation preferences to holders of any then\plain\cf1\f51\fs20\ql outstanding shares of preferred stock. Holders of our common stock have no redemption, conversion or preemptive rights.\plain\cf1\f51\fs20\ql There are no sinking fund provisions applicable to our common stock. The rights, preferences and privileges of the holders of\plain\brdrb\brdrs\cf1\f51\fs20\ql our common stock are subject to the rights of the holders of shares of any series of\par\pard\plain\sb264\cf1\f51\fs20\qc 2\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\li89\ql \~\par\pard\plain\sb264\cf1\f51\fs20\ql preferred stock that we may issue in the future.\par\pard\plain\sb264\fi528\cf1\f51\fs20\b\i\qj Preferred Stock\plain\cf1\f51\fs20\qj .\~\~We may issue shares of our preferred stock from time to time, in one or more series. Our board of\plain\cf1\f51\fs20\qj directors has the authority to issue preferred stock in one or more classes or series and to fix the designations, powers,\plain\cf1\f51\fs20\qj preferences and rights, and the qualifications, limitations or restrictions thereof, including dividend rights, conversion rights,\plain\cf1\f51\fs20\qj voting rights, terms of redemption, liquidation preferences and the number of shares constituting any class or series, without\plain\cf1\f51\fs20\qj further vote or action by the stockholders.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj If we sell any series of preferred stock under this prospectus, we will fix the designations, powers, preferences and rights\plain\cf1\f51\fs20\qj of such series of preferred stock, as well as the qualifications, limitations or restrictions thereof, in the certificate of designation\plain\cf1\f51\fs20\qj relating to that series. We will file as an exhibit to the registration statement of which this prospectus is a part, or will\plain\cf1\f51\fs20\qj incorporate by reference from reports that we file with the SEC, the form of any certificate of designation that describes the\plain\cf1\f51\fs20\qj terms of the series of preferred stock that we are offering before the issuance of the related series of preferred stock. We urge\plain\cf1\f51\fs20\qj you to read the applicable prospectus supplement (and any free writing prospectus that we may authorize to be provided to\plain\cf1\f51\fs20\qj you) related to the series of preferred stock being offered, as well as the complete certificate of designation that contains the\plain\cf1\f51\fs20\qj terms of the applicable series of preferred stock.\par\pard\plain\sb264\fi528\cf1\f51\fs20\b\i\qj Debt Securities\plain\cf1\f51\fs20\qj .\~\~We may issue debt securities from time to time, in one or more series, as either senior or subordinated\plain\cf1\f51\fs20\qj debt or as senior or subordinated convertible debt. The senior debt securities will rank equally with any other unsecured and\plain\cf1\f51\fs20\qj unsubordinated debt. The subordinated debt securities will be subordinate and junior in right of payment, to the extent and in\plain\cf1\f51\fs20\qj the manner described in the instrument governing the debt, to all of our senior indebtedness. Convertible debt securities will be\plain\cf1\f51\fs20\qj convertible into our common stock or preferred stock. Conversion may be mandatory or at the holder\u8217?s option and\plain\cf1\f51\fs20\qj would be at prescribed conversion rates.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj The debt securities will be issued under one or more documents called indentures, which are contracts between us and a\plain\cf1\f51\fs20\qj national banking association or other eligible party, as trustee. In this prospectus, we have summarized certain general features\plain\cf1\f51\fs20\qj of the debt securities. We urge you, however, to read the applicable prospectus supplement (and any free writing prospectus\plain\cf1\f51\fs20\qj that we may authorize to be provided to you) related to the series of debt securities being offered, as well as the complete\plain\cf1\f51\fs20\qj indentures that contain the terms of the debt securities. A form of indenture has been filed as an exhibit to the registration\plain\cf1\f51\fs20\qj statement of which this prospectus is a part, and supplemental indentures and forms of debt securities containing the terms of\plain\cf1\f51\fs20\qj the debt securities being offered will be filed as exhibits to the registration statement of which this prospectus is a part or will\plain\cf1\f51\fs20\qj be incorporated by reference from reports that we file with the SEC.\par\pard\plain\sb264\fi528\cf1\f51\fs20\b\i\qj Warrants.\plain\cf1\f51\fs20\qj \~\~We may issue warrants for the purchase of common stock, preferred stock and/or debt securities in one or\plain\cf1\f51\fs20\qj more series. We may issue warrants independently or together with common stock, preferred stock and/or debt securities, and\plain\cf1\f51\fs20\qj the warrants may be attached to or separate from these securities. In this prospectus, we have summarized certain general\plain\cf1\f51\fs20\qj features of the warrants. We urge you, however, to read the applicable prospectus supplement (and any free writing prospectus\plain\cf1\f51\fs20\qj that we may authorize to be provided to you) related to the particular series of warrants being offered, as well as the complete\plain\cf1\f51\fs20\qj warrant agreements and warrant certificates that contain the terms of the warrants. Forms of the warrant agreements and forms\plain\cf1\f51\fs20\qj of warrant certificates containing the terms of the warrants being offered have been filed as exhibits to the registration\plain\cf1\f51\fs20\qj statement of which this prospectus is a part, and supplemental warrant agreements and forms of warrant certificates will be\plain\cf1\f51\fs20\qj filed as exhibits to the registration statement of which this prospectus is a part or will be incorporated by reference from\plain\cf1\f51\fs20\qj reports that we file with the SEC.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We will evidence each series of warrants by warrant certificates that we will issue. Warrants may be issued under an\plain\cf1\f51\fs20\qj applicable warrant agreement that we enter into with a warrant agent. We will indicate the name and address of the warrant\plain\cf1\f51\fs20\qj agent, if applicable, in the prospectus supplement relating to the particular series of warrants being offered.\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\brdrb\brdrs\sa220\cf1\f51\fs22\b\qc \~\par\pard\plain\sb264\cf1\f51\fs20\qc 3\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart risk_factors_12646843}{\*\bkmkend risk_factors_12646843}\par\pard\plain\cf1\f51\fs18\b\qc RISK FACTORS\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Investing in our securities involves a high degree of risk. You should carefully review the risks and uncertainties described\plain\cf1\f51\fs20\ql under the heading \u8220?Risk Factors\u8221? contained in the applicable prospectus supplement and any related free writing\plain\cf1\f51\fs20\ql prospectus, and under similar headings in our Annual Report on Form 10-K for the year ended December 31, 2017 and\plain\cf1\f51\fs20\ql Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2018, as updated by our annual, quarterly and other\plain\cf1\f51\fs20\ql reports and documents that are incorporated by reference into this prospectus, before deciding whether to purchase any of the\plain\cf1\f51\fs20\ql securities being registered pursuant to the registration statement of which this prospectus is a part. Each of the risk factors could\plain\cf1\f51\fs20\ql adversely affect our business, operating results and financial condition, as well as adversely affect the value of an investment in\plain\cf1\f51\fs20\ql our securities, and the occurrence of any of these risks might cause you to lose all or part of your investment. Additional risks\plain\cf1\f51\fs20\ql not presently known to us or that we currently believe are immaterial may also significantly impair our business operations. \~\~{\*\bkmkstart special_note_regarding_forwardlo}{\*\bkmkend special_note_regarding_forwardlo}\par\pard\plain\sb396\cf1\f51\fs20\b\qc SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj This prospectus, each prospectus supplement and the information incorporated by reference in this prospectus and each\plain\cf1\f51\fs20\qj prospectus supplement contain forward-looking statements within the meaning of Section\~27A of the Securities Act, and\plain\cf1\f51\fs20\qj Section\~21E of the Exchange Act that involve a number of risks and uncertainties. Although our forward-looking statements\plain\cf1\f51\fs20\qj reflect the good faith judgment of our management, these statements can only be based on facts and factors currently known by\plain\cf1\f51\fs20\qj us. Consequently, these forward-looking statements are inherently subject to risks and uncertainties, and actual results and\plain\cf1\f51\fs20\qj outcomes may differ materially from results and outcomes discussed in the forward-looking statements.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Forward-looking statements can be identified by the use of forward-looking words such as \u8220?believes,\u8221?\plain\cf1\f51\fs20\qj \u8220?expects,\u8221? \u8220?hopes,\u8221? \u8220?may,\u8221? \u8220?will,\u8221? \u8220?plan,\u8221?\plain\cf1\f51\fs20\qj \u8220?intends,\u8221? \u8220?estimates,\u8221? \u8220?could,\u8221? \u8220?should,\u8221? \u8220?would,\u8221?\plain\cf1\f51\fs20\qj \u8220?continue,\u8221? \u8220?seeks,\u8221? \u8220?pro forma,\u8221? or \u8220?anticipates,\u8221? or other similar words\plain\cf1\f51\fs20\qj (including their use in the negative), or by discussions of future matters such as the development of new products, technology\plain\cf1\f51\fs20\qj enhancements, possible collaborations, possible changes in legislation and other statements that are not historical. These\plain\cf1\f51\fs20\qj statements include but are not limited to statements under the captions \u8220?Business,\u8221? \u8220?Risk Factors\u8221? and\plain\cf1\f51\fs20\qj \u8220?Management\u8217?s Discussion and Analysis of Financial Condition and Results of Operations\u8221? and in other\plain\cf1\f51\fs20\qj sections incorporated by reference from our Annual Report on Form\~10-K and Quarterly Reports on Form\~10-Q, as applicable,\plain\cf1\f51\fs20\qj as well as our other filings with the SEC. You should be aware that the occurrence of any of the events discussed under the\plain\cf1\f51\fs20\qj heading \u8220?Risk Factors\u8221? in any applicable prospectus supplement and any documents incorporated by reference\plain\cf1\f51\fs20\qj herein or therein could substantially harm our business, operating results and financial condition and that if any of these events\plain\cf1\f51\fs20\qj occurs, it could adversely affect the value of an investment in our securities.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj The cautionary statements made in this prospectus are intended to be applicable to all related forward-looking statements\plain\cf1\f51\fs20\qj wherever they may appear in this prospectus or in any prospectus supplement or any documents incorporated by reference herein\plain\cf1\f51\fs20\qj or therein. We urge you not to place undue reliance on these forward-looking statements, which speak only as of the date they\plain\cf1\f51\fs20\qj are made. Except as required by law, we assume no obligation to update our forward-looking statements, even if new\plain\cf1\f51\fs20\qj information becomes available in the future.{\*\bkmkstart use_proceeds_12646843}{\*\bkmkend use_proceeds_12646843}\par\pard\plain\sb396\cf1\f51\fs18\b\qc USE OF PROCEEDS\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will retain broad discretion over the use of the net proceeds from the sale of the securities offered hereby. Unless\plain\cf1\f51\fs20\ql otherwise indicated in any prospectus supplement or any related free writing prospectus that we may authorize to be provided to\plain\cf1\f51\fs20\ql you, we currently intend to use the net proceeds from the sale of the securities under this prospectus for general corporate\plain\cf1\f51\fs20\ql purposes, which may include research and development expenses, capital expenditures, working capital and general and\plain\cf1\f51\fs20\ql administrative expenses, and potential acquisitions of or investments in businesses, products and technologies that complement\plain\cf1\f51\fs20\ql our business, although we have no present commitments or agreements to make any such acquisitions or investments as of the\plain\cf1\f51\fs20\ql date of this prospectus.\~\~We will set forth in the applicable prospectus supplement or free writing prospectus our intended use for\plain\cf1\f51\fs20\ql the net proceeds received from the sale of any securities sold pursuant to the prospectus supplement or free writing prospectus.\plain\cf1\f51\fs20\ql Pending these uses, we intend to invest the net proceeds in short- and intermediate-term, interest-bearing obligations,\plain\cf1\f51\fs20\ql investment-grade instruments, certificates of deposit or direct or guaranteed obligations of the U.S. government.{\*\bkmkstart description_capital_stock_126468}{\*\bkmkend description_capital_stock_126468}\par\pard\plain\sb396\cf1\f51\fs18\b\qc DESCRIPTION OF CAPITAL STOCK\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj As of the date of this prospectus, our amended certificate of incorporation authorizes us to issue 150,000,000 shares of\plain\cf1\f51\fs20\qj common stock, par value $0.0001 per share, and 5,000,000 shares of preferred stock, par value $0.0001 per share.\~\~As of May 23,\plain\cf1\f51\fs20\qj 2018, 68,213,349 shares of common stock were outstanding and no shares of preferred stock were outstanding.\~\~\par\pard\plain\sb264\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs20\qc 4\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj The following summary description of our capital stock is based on the provisions of our amended certificate of\plain\cf1\f51\fs20\qj incorporation, as well as our amended and restated bylaws and the applicable provisions of the Delaware General Corporation\plain\cf1\f51\fs20\qj Law. This information is qualified entirely by reference to the applicable provisions of our amended certificate of incorporation,\plain\cf1\f51\fs20\qj amended and restated bylaws and the Delaware General Corporation Law. For information on how to obtain copies of our\plain\cf1\f51\fs20\qj amended certificate of incorporation and amended and restated bylaws, which are exhibits to the registration statement of which\plain\cf1\f51\fs20\qj this prospectus is a part, see \u8220?Where You Can Find Additional Information.\u8221?\~\~\~\~\par\pard\plain\sb396\cf1\f51\fs20\b\qj Common Stock\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql The holders of our common stock are entitled to the following rights:\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Voting Rights\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Holders of our common stock are entitled to one vote per share in the election of directors and on all other matters on\plain\cf1\f51\fs20\ql which stockholders are entitled or permitted to vote. Holders of our common stock are not entitled to cumulative voting rights.\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Dividend Rights\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Subject to the terms of any then outstanding series of preferred stock, the holders of our common stock are entitled to\plain\cf1\f51\fs20\ql dividends in the amounts and at times as may be declared by the board of directors out of funds legally available therefor.\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Liquidation Rights\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Upon liquidation or dissolution, holders of our common stock are entitled to share ratably in all net assets available for\plain\cf1\f51\fs20\ql distribution to stockholders after we have paid, or provided for payment of, all of our debts and liabilities, and after payment of\plain\cf1\f51\fs20\ql any liquidation preferences to holders of any then outstanding shares of preferred stock.\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Other Matters\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Holders of our common stock have no redemption, conversion or preemptive rights. There are no sinking fund provisions\plain\cf1\f51\fs20\ql applicable to our common stock. The rights, preferences and privileges of the holders of our common stock are subject to the\plain\cf1\f51\fs20\ql rights of the holders of shares of any series of preferred stock that we may issue in the future.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql All of our outstanding shares of common stock are fully paid and nonassessable.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Preferred Stock\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Our board of directors has the authority to issue preferred stock in one or more classes or series and to fix the designations,\plain\cf1\f51\fs20\ql powers, preferences and rights, and the qualifications, limitations or restrictions thereof, including dividend rights, conversion\plain\cf1\f51\fs20\ql rights, voting rights, terms of redemption, liquidation preferences and the number of shares constituting any class or series,\plain\cf1\f51\fs20\ql without further vote or action by the stockholders. The board of directors, without stockholder approval, can issue preferred stock\plain\cf1\f51\fs20\ql with voting, conversion or other rights that could adversely affect the voting power and other rights of the holders of common\plain\cf1\f51\fs20\ql stock. Preferred stock could be issued quickly with terms designed to delay or prevent a change in control of our company or\plain\cf1\f51\fs20\ql make removal of management more difficult. Additionally, the issuance of preferred stock may have the effect of decreasing the\plain\cf1\f51\fs20\ql market price of the common stock and may adversely affect the voting power of holders of common stock and reduce the\plain\cf1\f51\fs20\ql likelihood that common stockholders will receive dividend payments and payments upon liquidation.\~\~\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Our board of directors will fix the designations, powers, preferences and rights of the each series, as well as the\plain\cf1\f51\fs20\qj qualifications, limitations or restrictions thereof, of the preferred stock of each series that we offer under this prospectus and\plain\cf1\f51\fs20\qj applicable prospectus supplements in the certificate of designation relating to that series.\~\~We will file as an exhibit to the\plain\cf1\f51\fs20\qj registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC,\plain\cf1\f51\fs20\qj the form of any certificate of designation that describes the terms of the series of preferred stock we are offering. This\plain\cf1\f51\fs20\qj description will include:
\par\pard\plain
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\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
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\par\pard\plain
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\page\par\pard\plain\cf1\f51\fs22\ql \~
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\par\pard\plain
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\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
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\par\pard\plain
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\par\pard\plain
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\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether the preferred stock will be convertible into our common stock or other securities of ours, including\plain\intbl\cf1\f51\fs20\qj warrants, and, if applicable, the conversion price, or how it will be calculated, and under what circumstances\plain\intbl\cf1\f51\fs20\qj and the mechanism by which it may be adjusted, and the conversion period;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether the preferred stock will be exchangeable into debt securities or other securities of ours, and, if\plain\intbl\cf1\f51\fs20\qj applicable, the exchange price, or how it will be calculated, and under what circumstances it may be adjusted,\plain\intbl\cf1\f51\fs20\qj and the exchange period;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj voting rights, if any;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj preemptive rights, if any;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj restrictions on transfer, sale or other assignment, if any;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether interests in the preferred stock will be represented by depositary shares;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj a discussion of any material or special United States federal income tax considerations applicable to the\plain\intbl\cf1\f51\fs20\qj preferred stock;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the relative ranking and preferences of the preferred stock as to dividend rights and rights if we liquidate,\plain\intbl\cf1\f51\fs20\qj dissolve or wind up our affairs;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any limitations on issuances of any class or series of preferred stock ranking senior to or on a parity with the\plain\intbl\cf1\f51\fs20\qj series of preferred stock being issued as to dividend rights and rights if we liquidate, dissolve or wind up our\plain\intbl\cf1\f51\fs20\qj affairs; and\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any other specific terms, rights, preferences, privileges, qualifications or limitations of, or restrictions on the\plain\intbl\cf1\f51\fs20\qj preferred stock.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql The General Corporation Law of the State of Delaware, the state of our incorporation, provides that the holders of preferred\plain\cf1\f51\fs20\ql stock will have the right to vote separately as a class (or, in some cases, as a series) on an amendment to our amended certificate\plain\cf1\f51\fs20\ql of incorporation if the amendment would change the par value or, unless the amended certificate of incorporation provided\plain\cf1\f51\fs20\ql otherwise, the number of authorized shares of the class or change the powers, preferences or special rights of the class or series\plain\cf1\f51\fs20\ql so as to adversely affect the class or series, as the case may be. This right is in addition to any voting rights that may be\plain\cf1\f51\fs20\ql provided for in the applicable certificate of designation.\~\~\par\pard\plain\sb396\cf1\f51\fs20\b\ql Stock Options and Stock Awards\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql As of March 31, 2018, we had outstanding options to purchase an aggregate of 1,807,827 shares of our common stock with\plain\cf1\f51\fs20\ql exercise prices ranging from $0.69 to $27.33 per share, with an approximate weighted average exercise price of $4.57 per share.\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql As of March 31, 2018, we had outstanding restricted stock awards underlying an aggregate of 185,920 shares of our\plain\cf1\f51\fs20\ql common stock.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Warrants\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql As of March 31, 2018, we had outstanding warrants to purchase an aggregate of 41,502,602 shares of our common stock\plain\cf1\f51\fs20\ql with exercise prices ranging from $0.50 to $75.60 per share, with an approximate weighted average exercise price of $0.94 per\plain\cf1\f51\fs20\ql share.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Registration Rights{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Under the terms of the warrants issued to certain designees of the representative of the underwriters in connection with our\plain\cf1\f51\fs20\ql initial public offering, the holder of each warrant has the right to include its shares in any registration statement we file.\~\~If we\plain\cf1\f51\fs20\ql register any securities for public sale, the holder will have the right to include its shares in the registration statement, provided\plain\cf1\f51\fs20\ql that the underwriters of any such underwritten offering will have the right to limit the number of shares to be included in the\plain\cf1\f51\fs20\ql registration\par\pard\plain\sb264\cf1\f51\fs20\qc 6\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb132\cf1\f51\fs20\ql statement.\~\~These piggyback registration rights expire on February 4, 2021.\~\~\~\~\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will pay all expenses, other than any underwriting commissions and the expenses of any legal counsel of the holders,\plain\cf1\f51\fs20\ql relating to the exercise of the registration rights pursuant to the warrants.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Anti-takeover Effects of Provisions of Delaware Law and Charter Documents\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql The provisions of Delaware law, our amended certificate of incorporation and our amended and restated bylaws described\plain\cf1\f51\fs20\ql below may have the effect of delaying, deferring or discouraging another party from acquiring control of us.\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Section 203 of the Delaware General Corporation Law\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql We are subject to Section 203 of the Delaware General Corporation Law, which prohibits a Delaware corporation from\plain\cf1\f51\fs20\ql engaging in any business combination with any interested stockholder for a period of three years after the date that such\plain\cf1\f51\fs20\ql stockholder became an interested stockholder, with the following exceptions:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj before such date, the board of directors of the corporation approved either the business combination or\plain\intbl\cf1\f51\fs20\qj the transaction that resulted in the stockholder becoming an interested stockholder;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1868
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj upon completion of the transaction that resulted in the stockholder becoming an interested stockholder,\plain\intbl\cf1\f51\fs20\qj the interested stockholder owned at least 85% of the voting stock of the corporation outstanding at the\plain\intbl\cf1\f51\fs20\qj time the transaction began, excluding for purposes of determining the voting stock outstanding (but not\plain\intbl\cf1\f51\fs20\qj the outstanding voting stock owned by the interested stockholder) those shares owned (i) by persons who\plain\intbl\cf1\f51\fs20\qj are directors and also officers and (ii) employee stock plans in which employee participants do not have\plain\intbl\cf1\f51\fs20\qj the right to determine confidentially whether shares held subject to the plan will be tendered in a tender\plain\intbl\cf1\f51\fs20\qj or exchange offer; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1868\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj on or after such date, the business combination is approved by the board of directors and authorized at an\plain\intbl\cf1\f51\fs20\qj annual or special meeting of the stockholders, and not by written consent, by the affirmative vote of at\plain\intbl\cf1\f51\fs20\qj least 66\plain\intbl\cf1\f51\fs13\qj\super 2\plain\intbl\cf1\f51\fs20\qj /\plain\intbl\cf1\f51\fs13\qj\sub 3\plain\intbl\cf1\f51\fs20\qj % of the outstanding voting stock that is not owned by the interested stockholder.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql In general, Section 203 defines business combination to include the following:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any merger or consolidation involving the corporation and the interested stockholder;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any sale, transfer, pledge or other disposition of 10% or more of the corporation\u8217?s assets or\plain\intbl\cf1\f51\fs20\qj outstanding stock involving the interested stockholder;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj in general, any transaction that results in the issuance or transfer by the corporation of any of its stock to\plain\intbl\cf1\f51\fs20\qj the interested stockholder;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any transaction involving the corporation that has the effect of increasing the proportionate share of its\plain\intbl\cf1\f51\fs20\qj stock owned by the interested stockholder; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the receipt by the interested stockholder of the benefit of any loans, advances, guarantees, pledges or\plain\intbl\cf1\f51\fs20\qj other financial benefits provided by or through the corporation.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql In general, Section\~203 defines an \u8220?interested stockholder\u8221? as any person who, together with the\plain\cf1\f51\fs20\ql person\u8217?s affiliates and associates, owns, or within three years prior to the determination of interested stockholder status did\plain\cf1\f51\fs20\ql own, 15% or more of a corporation\u8217?s voting stock.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Section\~203 of the DGCL could depress our stock price and delay, discourage or prohibit transactions not approved in\plain\cf1\f51\fs20\ql advance by our board of directors, such as takeover attempts that might otherwise involve the payment to our stockholders of a\plain\cf1\f51\fs20\ql premium over the market price of our common stock.\par\pard\plain\sb396\cf1\f51\fs20\b\i\ql Amended and Restated Certificate of Incorporation and Amended and Restated Bylaws\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Our amended certificate of incorporation and/or amended and restated bylaws provide that:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our board of directors is classified into three classes of equal (or roughly equal) size, with all directors\plain\intbl\cf1\f51\fs20\qj serving for a three-year term and the directors of only one class being elected at each annual meeting of\plain\intbl\cf1\f51\fs20\qj stockholders, so that the terms of the classes of directors are \u8220?staggered\u8221?;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
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{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the authorized number of directors can be changed only by resolution of our board of directors;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}\pard\plain\sb264\cf1\f51\fs20\qc 7\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\intbl\sb132\cf1\f51\fs20\qj our amended and restated bylaws may be amended or repealed by our board of directors or our\plain\intbl\cf1\f51\fs20\qj stockholders;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj no action can be taken by stockholders except at an annual or special meeting of the stockholders called\plain\intbl\cf1\f51\fs20\qj in accordance with our amended and restated bylaws, and stockholders may not act by written consent,\plain\intbl\cf1\f51\fs20\qj unless the stockholders amend the amended certificate of incorporation to provide otherwise;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj stockholders may not call special meetings of the stockholders or fill vacancies on the board;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1125
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our board of directors will be authorized to issue, without stockholder approval, preferred stock, the rights\plain\intbl\cf1\f51\fs20\qj of which will be determined at the discretion of the board of directors and that, if issued, could operate\plain\intbl\cf1\f51\fs20\qj as a \u8220?poison pill\u8221? to dilute the stock ownership of a potential hostile acquirer to prevent an\plain\intbl\cf1\f51\fs20\qj acquisition that our board of directors does not approve;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1125\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our stockholders do not have cumulative voting rights, and therefore our stockholders holding a majority\plain\intbl\cf1\f51\fs20\qj of the shares of common stock outstanding will be able to elect all of our directors; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our stockholders must comply with advance notice provisions to bring business before or nominate\plain\intbl\cf1\f51\fs20\qj directors for election at a stockholder meeting.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb396\cf1\f51\fs20\b\ql Potential Effects of Authorized but Unissued Stock\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql We have shares of common stock and preferred stock available for future issuance without stockholder approval. We may\plain\cf1\f51\fs20\ql utilize these additional shares for a variety of corporate purposes, including future public offerings to raise additional capital, to\plain\cf1\f51\fs20\ql facilitate corporate acquisitions or payment as a dividend on the capital stock.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The existence of unissued and unreserved common stock and preferred stock may enable our board of directors to issue\plain\cf1\f51\fs20\ql shares to persons friendly to current management or to issue preferred stock with terms that could render more difficult or\plain\cf1\f51\fs20\ql discourage a third-party attempt to obtain control of us by means of a merger, tender offer, proxy contest or otherwise, thereby\plain\cf1\f51\fs20\ql protecting the continuity of our management. In addition, the board of directors has the discretion to determine designations,\plain\cf1\f51\fs20\ql rights, preferences, privileges and restrictions, including voting rights, dividend rights, conversion rights, redemption privileges\plain\cf1\f51\fs20\ql and liquidation preferences of each series of preferred stock, all to the fullest extent permissible under the Delaware General\plain\cf1\f51\fs20\ql Corporation Law and subject to any limitations set forth in our amended certificate of incorporation. The purpose of authorizing\plain\cf1\f51\fs20\ql the board of directors to issue preferred stock and to determine the rights and preferences applicable to such preferred stock is to\plain\cf1\f51\fs20\ql eliminate delays associated with a stockholder vote on specific issuances. The issuance of preferred stock, while providing\plain\cf1\f51\fs20\ql desirable flexibility in connection with possible financings, acquisitions and other corporate purposes, could have the effect of\plain\cf1\f51\fs20\ql making it more difficult for a third-party to acquire, or could discourage a third-party from acquiring, a majority of our\plain\cf1\f51\fs20\ql outstanding voting stock.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Limitations of Director Liability and Indemnification of Directors, Officers and Employees\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Our amended certificate of incorporation limits the liability of directors to the maximum extent permitted by Delaware law.\plain\cf1\f51\fs20\ql Delaware law provides that directors of a corporation will not be personally liable for monetary damages for breach of their\plain\cf1\f51\fs20\ql fiduciary duties as directors, except for liability for any:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj breach of their duty of loyalty to us or our stockholders;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj act or omission not in good faith or that involves intentional misconduct or a knowing violation of law;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj unlawful payments of dividends or unlawful stock repurchases or redemptions as provided in Section 174\plain\intbl\cf1\f51\fs20\qj of the Delaware General Corporation Law; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj transaction from which the directors derived an improper personal benefit.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql These limitations of liability do not apply to liabilities arising under the federal or state securities laws and do not affect\plain\cf1\f51\fs20\ql the availability of equitable remedies such as injunctive relief or rescission.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Our amended and restated bylaws provide that we will indemnify our directors and officers to the fullest extent permitted\plain\cf1\f51\fs20\ql by law, and may indemnify employees and other agents. Our amended and restated bylaws also provide that we are obligated to\plain\cf1\f51\fs20\ql advance expenses incurred by a director or officer in advance of the final disposition of any action or proceeding.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We have obtained a policy of directors\u8217? and officers\u8217? liability insurance.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We enter into separate indemnification agreements with our directors and officers. These agreements, among other things,\plain\cf1\f51\fs20\ql require us to indemnify our directors and officers for any and all expenses (including reasonable attorneys\u8217? fees, retainers,\plain\cf1\f51\fs20\ql court costs, transcript costs, fees of experts, witness fees, travel expenses, duplicating costs, printing and binding costs, telephone\plain\cf1\f51\fs20\ql charges,\par\pard\plain\sb264\cf1\f51\fs20\qc 8\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\ql postage, delivery service fees) judgments, fines and amounts paid in settlement actually and reasonably incurred by such directors\plain\cf1\f51\fs20\ql or officers or on his or her behalf in connection with any action or proceeding arising out of their services as one of our directors\plain\cf1\f51\fs20\ql or officers, or any of our subsidiaries or any other company or enterprise to which the person provides services at our request\plain\cf1\f51\fs20\ql provided that such person follows the procedures for determining entitlement to indemnification and advancement of expenses set\plain\cf1\f51\fs20\ql forth in the indemnification agreement. We believe that these bylaw provisions and indemnification agreements are necessary to\plain\cf1\f51\fs20\ql attract and retain qualified persons as directors and officers.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The limitation of liability and indemnification provisions in our amended certificate of incorporation and amended and\plain\cf1\f51\fs20\ql restated bylaws may discourage stockholders from bringing a lawsuit against directors for breach of their fiduciary duties. They\plain\cf1\f51\fs20\ql may also reduce the likelihood of derivative litigation against directors and officers, even though an action, if successful, might\plain\cf1\f51\fs20\ql provide a benefit to us and our stockholders. Our results of operations and financial condition may be harmed to the extent we\plain\cf1\f51\fs20\ql pay the costs of settlement and damage awards against directors and officers pursuant to these indemnification provisions.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers or persons\plain\cf1\f51\fs20\ql controlling us, we have been informed that, in the opinion of the SEC, such indemnification is against public policy as expressed\plain\cf1\f51\fs20\ql in the Securities Act and is therefore unenforceable.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql At present, there is no pending litigation or proceeding involving any of our directors or officers as to which\plain\cf1\f51\fs20\ql indemnification is required or permitted, and we are not aware of any threatened litigation or proceeding that may result in a\plain\cf1\f51\fs20\ql claim for indemnification.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Transfer Agent and Registrar\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql The transfer agent and registrar for our common stock is Continental Stock Transfer & Trust Company. Its address is 17\plain\cf1\f51\fs20\ql Battery Place, 8th Floor, New York, New York 10004 and its telephone number is (212) 509-4000. The transfer agent for any\plain\cf1\f51\fs20\ql series of preferred stock that we may offer under this prospectus will be named and described in the prospectus supplement for\plain\cf1\f51\fs20\ql that series.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Listing on the Nasdaq Capital Market\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Our common stock is listed on The Nasdaq Capital Market under the symbol BIOC.{\*\bkmkstart description_debt_securities_1264}{\*\bkmkend description_debt_securities_1264}\par\pard\plain\sb396\cf1\f51\fs20\b\qc DESCRIPTION OF DEBT SECURITIES{\*\bkmkstart descriptionofdebtsecurities_1002}{\*\bkmkend descriptionofdebtsecurities_1002}\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We may issue debt securities from time to time, in one or more series, as either senior or subordinated debt or as senior or\plain\cf1\f51\fs20\ql subordinated convertible debt. While the terms we have summarized below will apply generally to any debt securities that we\plain\cf1\f51\fs20\ql may offer under this prospectus, we will describe the particular terms of any debt securities that we may offer in more detail in\plain\cf1\f51\fs20\ql the applicable prospectus supplement. The terms of any debt securities offered under a prospectus supplement may differ from\plain\cf1\f51\fs20\ql the terms described below. Unless the context requires otherwise, whenever we refer to the indenture, we also are referring to\plain\cf1\f51\fs20\ql any supplemental indentures that specify the terms of a particular series of debt securities.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will issue the debt securities under the indenture that we will enter into with the trustee named in the indenture.\~\~The\plain\cf1\f51\fs20\ql indenture will be qualified under the Trust Indenture Act of 1939, as amended, or the Trust Indenture Act.\~\~We have filed the\plain\cf1\f51\fs20\ql form of indenture as an exhibit to the registration statement of which this prospectus is a part, and supplemental indentures and\plain\cf1\f51\fs20\ql forms of debt securities containing the terms of the debt securities being offered will be filed as exhibits to the registration\plain\cf1\f51\fs20\ql statement of which this prospectus is a part or will be incorporated by reference from reports that we file with the SEC.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The following summary of material provisions of the debt securities and the indenture is subject to, and qualified in its\plain\cf1\f51\fs20\ql entirety by reference to, all of the provisions of the indenture applicable to a particular series of debt securities.\~\~We urge you to\plain\cf1\f51\fs20\ql read the applicable prospectus supplements and any related free writing prospectuses related to the debt securities that we may\plain\cf1\f51\fs20\ql offer under this prospectus, as well as the complete indenture that contains the terms of the debt securities.\~\~\par\pard\plain\sb396\cf1\f51\fs20\b\ql General\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The indenture does not limit the amount of debt securities that we may issue. It provides that we may issue debt securities\plain\cf1\f51\fs20\ql up to the principal amount that we may authorize and may be in any currency or currency unit that we may designate. Except for\plain\cf1\f51\fs20\ql the limitations on consolidation, merger and sale of all or substantially all of our assets contained in the indenture, the terms of\plain\cf1\f51\fs20\ql the indenture do not contain any covenants or other provisions designed to give holders of any debt securities protection against\plain\cf1\f51\fs20\ql changes in our operations, financial condition or transactions involving us.\par\pard\plain\sb264\cf1\f51\fs20\qc 9\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We may issue the debt securities issued under the indenture as \u8220?discount securities,\u8221? which means they may\plain\cf1\f51\fs20\ql be sold at a discount below their stated principal amount. These debt securities, as well as other debt securities that are not issued\plain\cf1\f51\fs20\ql at a discount, may be issued with \u8220?original issue discount,\u8221? or OID, for U.S. federal income tax purposes because of\plain\cf1\f51\fs20\ql interest payment and other characteristics or terms of the debt securities. Material U.S. federal income tax considerations\plain\cf1\f51\fs20\ql applicable to debt securities issued with OID will be described in more detail in any applicable prospectus supplement.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will describe in the applicable prospectus supplement the terms of the series of debt securities being offered, including:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the title of the series of debt securities;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any limit upon the aggregate principal amount that may be issued;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the maturity date or dates;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the form of the debt securities of the series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the applicability of any guarantees;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether or not the debt securities will be secured or unsecured, and the terms of any secured debt;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether the debt securities rank as senior debt, senior subordinated debt, subordinated debt or any\plain\intbl\cf1\f51\fs20\qj combination thereof, and the terms of any subordination;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1372
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if the price (expressed as a percentage of the aggregate principal amount thereof) at which such\plain\intbl\cf1\f51\fs20\qj debt\~\~securities will be issued is a price other than the principal amount thereof, the portion of the\plain\intbl\cf1\f51\fs20\qj principal amount thereof payable upon declaration of acceleration of the maturity thereof, or if applicable,\plain\intbl\cf1\f51\fs20\qj the portion of the principal amount of such debt securities that is convertible into another security or the\plain\intbl\cf1\f51\fs20\qj method by which any such portion shall be determined;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1372\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the interest rate or rates, which may be fixed or variable, or the method for determining the rate and the\plain\intbl\cf1\f51\fs20\qj date interest will begin to accrue, the dates interest will be payable and the regular record dates for\plain\intbl\cf1\f51\fs20\qj interest payment dates or the method for determining such dates;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our right, if any, to defer payment of interest and the maximum length of any such deferral period;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if applicable, the date or dates after which, or the period or periods during which, and the price or prices\plain\intbl\cf1\f51\fs20\qj at which, we may, at our option, redeem the series of debt securities pursuant to any optional or\plain\intbl\cf1\f51\fs20\qj provisional redemption provisions and the terms of those redemption provisions;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1125
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the date or dates, if any, on which, and the price or prices at which we are obligated, pursuant to any\plain\intbl\cf1\f51\fs20\qj mandatory sinking fund or analogous fund provisions or otherwise, to redeem, or at the holder\u8217?s\plain\intbl\cf1\f51\fs20\qj option to purchase, the series of debt securities and the currency or currency unit in which the debt\plain\intbl\cf1\f51\fs20\qj securities are payable;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1125\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the denominations in which we will issue the series of debt securities, if other than denominations of\plain\intbl\cf1\f51\fs20\qj $1,000 and any integral multiple thereof;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any and all terms, if applicable, relating to any auction or remarketing of the debt securities of that series\plain\intbl\cf1\f51\fs20\qj and any security for our obligations with respect to such debt securities and any other terms which may\plain\intbl\cf1\f51\fs20\qj be advisable in connection with the marketing of debt securities of that series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1125
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether the debt securities of the series shall be issued in whole or in part in the form of a global\plain\intbl\cf1\f51\fs20\qj security or securities; the terms and conditions, if any, upon which such global security or securities may\plain\intbl\cf1\f51\fs20\qj be exchanged in whole or in part for other individual securities; and the depositary for such global\plain\intbl\cf1\f51\fs20\qj security or securities;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1125\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1372
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if applicable, the provisions relating to conversion or exchange of any debt securities of the series and the\plain\intbl\cf1\f51\fs20\qj terms and conditions upon which such debt securities will be so convertible or exchangeable, including\plain\intbl\cf1\f51\fs20\qj the conversion or exchange price, as applicable, or how it will be calculated and may be adjusted, any\plain\intbl\cf1\f51\fs20\qj mandatory or optional (at our option or the holders\u8217? option) conversion or exchange features, the\plain\intbl\cf1\f51\fs20\qj applicable conversion or exchange period and the manner of settlement for any conversion or exchange;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1372\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if other than the full principal amount thereof, the portion of the principal amount of debt securities of\plain\intbl\cf1\f51\fs20\qj the series which shall be payable upon declaration of acceleration of the maturity thereof;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj additions to or changes in the covenants applicable to the particular debt securities being issued,\plain\intbl\cf1\f51\fs20\qj including, among others, the consolidation, merger or sale covenant;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh0
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj additions to or changes in the events of default with respect to the securities and any change in the right\plain\intbl\cf1\f51\fs20\qj of the trustee or the holders to declare the principal, premium, if any, and interest, if any, with respect to\plain\intbl\cf1\f51\fs20\qj such securities to be due and payable;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh0\row}}}\pard\plain\sb264\cf1\f51\fs20\qc 10\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\intbl\sb132\cf1\f51\fs20\qj additions to or changes in or deletions of the provisions relating to covenant defeasance and legal\plain\intbl\cf1\f51\fs20\qj defeasance;\~\~\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj additions to or changes in the provisions relating to satisfaction and discharge of the indenture;\~\~\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj additions to or changes in the provisions relating to the modification of the indenture both with and\plain\intbl\cf1\f51\fs20\qj without the consent of holders of debt securities issued under the indenture;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the currency of payment of debt securities if other than U.S. dollars and the manner of determining the\plain\intbl\cf1\f51\fs20\qj equivalent amount in U.S. dollars;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether interest will be payable in cash or additional debt securities at our or the holders\u8217? option\plain\intbl\cf1\f51\fs20\qj and the terms and conditions upon which the election may be made;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the terms and conditions, if any, upon which we will pay amounts in addition to the stated interest,\plain\intbl\cf1\f51\fs20\qj premium, if any, and principal amounts of the debt securities of the series to any holder that is not a\plain\intbl\cf1\f51\fs20\qj \u8220?United States person\u8221? for federal tax purposes;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any restrictions on transfer, sale or assignment of the debt securities of the series; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any other specific terms, preferences, rights or limitations of, or restrictions on, the debt securities, any\plain\intbl\cf1\f51\fs20\qj other additions or changes in the provisions of the indenture, and any terms that may be required by us or\plain\intbl\cf1\f51\fs20\qj advisable under applicable laws or regulations.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}\pard\plain\sb396\cf1\f51\fs20\b\ql Conversion or Exchange Rights\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql We will set forth in the applicable prospectus supplement the terms on which a series of debt securities may be convertible\plain\cf1\f51\fs20\ql into or exchangeable for our common stock or our other securities.\~\~We will include provisions as to settlement upon conversion\plain\cf1\f51\fs20\ql or exchange and whether conversion or exchange is mandatory, at the option of the holder or at our option. We may include\plain\cf1\f51\fs20\ql provisions pursuant to which the number of shares of our common stock or our other securities that the holders of the series of\plain\cf1\f51\fs20\ql debt securities receive would be subject to adjustment.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Consolidation, Merger or Sale\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Unless we provide otherwise in the prospectus supplement applicable to a particular series of debt securities, the indenture\plain\cf1\f51\fs20\ql will not contain any covenant that restricts our ability to merge or consolidate, or sell, convey, transfer or otherwise dispose of\plain\cf1\f51\fs20\ql our assets as an entirety or substantially as an entirety.\~\~However, any successor to or acquirer of such assets (other than a\plain\cf1\f51\fs20\ql subsidiary of ours) must assume all of our obligations under the indenture or the debt securities, as appropriate.\~\~\par\pard\plain\sb396\cf1\f51\fs20\b\ql Events of Default under the Indenture\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Unless we provide otherwise in the prospectus supplement applicable to a particular series of debt securities, the following\plain\cf1\f51\fs20\ql are events of default under the indenture with respect to any series of debt securities that we may issue:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1125
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if we fail to pay any installment of interest on any series of debt securities, as and when the same shall\plain\intbl\cf1\f51\fs20\qj become due and payable, and such default continues for a period of 90 days; provided, however, that a\plain\intbl\cf1\f51\fs20\qj valid extension of an interest payment period by us in accordance with the terms of any indenture\plain\intbl\cf1\f51\fs20\qj supplemental thereto shall not constitute a default in the payment of interest for this purpose;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1125\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1620
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if we fail to pay the principal of, or premium, if any, on any series of debt securities as and when the\plain\intbl\cf1\f51\fs20\qj same shall become due and payable whether at maturity, upon redemption, by declaration or otherwise, or\plain\intbl\cf1\f51\fs20\qj in any payment required by any sinking or analogous fund established with respect to such series;\plain\intbl\cf1\f51\fs20\qj provided, however, that a valid extension of the maturity of such debt securities in accordance with the\plain\intbl\cf1\f51\fs20\qj terms of any indenture supplemental thereto shall not constitute a default in the payment of principal or\plain\intbl\cf1\f51\fs20\qj premium, if any;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1620\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1372
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if we fail to observe or perform any other covenant or agreement contained in the debt securities or the\plain\intbl\cf1\f51\fs20\qj indenture, other than a covenant specifically relating to another series of debt securities, and our failure\plain\intbl\cf1\f51\fs20\qj continues for 90\~days after we receive written notice of such failure, requiring the same to be remedied\plain\intbl\cf1\f51\fs20\qj and stating that such is a notice of default thereunder, from the trustee or holders of at least 25% in\plain\intbl\cf1\f51\fs20\qj aggregate principal amount of the outstanding debt securities of the applicable series; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1372\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if specified events of bankruptcy, insolvency or reorganization occur.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\sb264\fi528\cf1\f51\fs20\ql If an event of default with respect to debt securities of any series occurs and is continuing, other than an event of default\plain\cf1\f51\fs20\ql specified in the last bullet point above, the trustee or the holders of at least 25% in aggregate principal amount of the outstanding\plain\cf1\f51\fs20\ql debt\par\pard\plain\sb264\cf1\f51\fs20\qc 11\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\ql securities of that series, by notice to us in writing, and to the trustee if notice is given by such holders, may declare the unpaid\plain\cf1\f51\fs20\ql principal of, premium, if any, and accrued interest, if any, due and payable immediately.\~\~If an event of default specified in the\plain\cf1\f51\fs20\ql last bullet point above occurs with respect to us, the principal amount of and accrued interest, if any, of each issue of debt\plain\cf1\f51\fs20\ql securities then outstanding shall be due and payable without any notice or other action on the part of the trustee or any holder.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The holders of a majority in principal amount of the outstanding debt securities of an affected series may waive any default\plain\cf1\f51\fs20\ql or event of default with respect to the series and its consequences, except defaults or events of default regarding payment of\plain\cf1\f51\fs20\ql principal, premium, if any, or interest, unless we have cured the default or event of default in accordance with the\plain\cf1\f51\fs20\ql indenture.\~\~Any waiver shall cure the default or event of default.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Subject to the terms of the indenture, if an event of default under an indenture shall occur and be continuing, the trustee\plain\cf1\f51\fs20\ql will be under no obligation to exercise any of its rights or powers under such indenture at the request or direction of any of the\plain\cf1\f51\fs20\ql holders of the applicable series of debt securities, unless such holders have offered the trustee reasonable indemnity.\~\~The holders\plain\cf1\f51\fs20\ql of a majority in principal amount of the outstanding debt securities of any series will have the right to direct the time, method\plain\cf1\f51\fs20\ql and place of conducting any proceeding for any remedy available to the trustee, or exercising any trust or power conferred on the\plain\cf1\f51\fs20\ql trustee, with respect to the debt securities of that series, provided that:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the direction so given by the holder is not in conflict with any law or the applicable indenture; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj subject to its duties under the Trust Indenture Act, the trustee need not take any action that might involve\plain\intbl\cf1\f51\fs20\qj it in personal liability or might be unduly prejudicial to the holders not involved in the proceeding.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql A holder of the debt securities of any series will have the right to institute a proceeding under the indenture or to appoint a\plain\cf1\f51\fs20\ql receiver or trustee, or to seek other remedies only if:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the holder has given written notice to the trustee of a continuing event of default with respect to that\plain\intbl\cf1\f51\fs20\qj series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the holders of at least 25% in aggregate principal amount of the outstanding debt securities of that series\plain\intbl\cf1\f51\fs20\qj have made written request,\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj such holders have offered to the trustee indemnity satisfactory to it against the costs, expenses and\plain\intbl\cf1\f51\fs20\qj liabilities to be incurred by the trustee in compliance with the request; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the trustee does not institute the proceeding, and does not receive from the holders of a majority in\plain\intbl\cf1\f51\fs20\qj aggregate principal amount of the outstanding debt securities of that series other conflicting directions\plain\intbl\cf1\f51\fs20\qj within 90\~days after the notice, request and offer.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh878\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql These limitations do not apply to a suit instituted by a holder of debt securities if we default in the payment of the\plain\cf1\f51\fs20\ql principal, premium, if any, or interest on, the debt securities.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will periodically file statements with the trustee regarding our compliance with specified covenants in the indenture.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Modification of Indenture; Waiver\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql We and the trustee may change an indenture without the consent of any holders with respect to specific matters:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to cure any ambiguity, defect or inconsistency in the indenture or in the debt securities of any series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to comply with the provisions described above under \u8220?Description of Debt\plain\intbl\cf1\f51\fs20\qj Securities\u8212?Consolidation, Merger or Sale;\u8221?\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to provide for uncertificated debt securities in addition to or in place of certificated debt securities;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1372
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to add to our covenants, restrictions, conditions or provisions such new covenants, restrictions, conditions\plain\intbl\cf1\f51\fs20\qj or provisions for the benefit of the holders of all or any series of debt securities, to make the occurrence,\plain\intbl\cf1\f51\fs20\qj or the occurrence and the continuance, of a default in any such additional covenants, restrictions,\plain\intbl\cf1\f51\fs20\qj conditions or provisions an event of default or to surrender any right or power conferred upon us in the\plain\intbl\cf1\f51\fs20\qj indenture;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1372\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to add to, delete from or revise the conditions, limitations, and restrictions on the authorized amount,\plain\intbl\cf1\f51\fs20\qj terms, or purposes of issue, authentication and delivery of debt securities, as set forth in the indenture;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to make any change that does not adversely affect the interests of any holder of debt securities of any\plain\intbl\cf1\f51\fs20\qj series in any material respect;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh0
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\pard\plain\intbl\sb132\cf1\f51\fs20\qj to provide for the issuance of and establish the form and terms and conditions of the debt securities of\plain\intbl\cf1\f51\fs20\qj any series as provided above under \u8220?Description of Debt Securities\u8212?General\u8221? to\plain\intbl\cf1\f51\fs20\qj establish the form of any certifications required to\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh0\row}}}\pard\plain\sb264\cf1\f51\fs20\qc 12\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~
\par\pard\plain
{\trowd\cellx972\cellx1187\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\f0\fs16\ql \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj be furnished pursuant to the terms of the indenture or any series of debt securities, or to add to the rights of the\plain\intbl\cf1\f51\fs20\qj holders of any series of debt securities;\cell{
{\trowd\cellx972\cellx1187\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to evidence and provide for the acceptance of appointment under any indenture by a successor trustee; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to comply with any requirements of the SEC in connection with the qualification of any indenture under\plain\intbl\cf1\f51\fs20\qj the Trust Indenture Act.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql In addition, under the indenture, the rights of holders of a series of debt securities may be changed by us and the trustee\plain\cf1\f51\fs20\ql with the written consent of the holders of at least a majority in aggregate principal amount of the outstanding debt securities of\plain\cf1\f51\fs20\ql each series that is affected.\~\~However, unless we provide otherwise in the prospectus supplement applicable to a particular series\plain\cf1\f51\fs20\ql of debt securities, we and the trustee may make the following changes only with the consent of each holder of any outstanding\plain\cf1\f51\fs20\ql debt securities affected:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj extending the fixed maturity of any debt securities of any series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj reducing the principal amount, reducing the rate of or extending the time of payment of interest, or\plain\intbl\cf1\f51\fs20\qj reducing any premium payable upon the redemption of any series of any debt securities; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj reducing the percentage of debt securities, the holders of which are required to consent to any\plain\intbl\cf1\f51\fs20\qj amendment, supplement, modification or waiver.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb396\cf1\f51\fs20\b\ql Discharge\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Each indenture provides that we can elect to be discharged from our obligations with respect to one or more series of debt\plain\cf1\f51\fs20\ql securities, except for specified obligations, including obligations to:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj provide for payment;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj register the transfer or exchange of debt securities of the series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj replace stolen, lost or mutilated debt securities of the series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj pay principal of and premium and interest on any debt securities of the series;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj maintain paying agencies;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj hold monies for payment in trust;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj recover excess money held by the trustee;\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj compensate and indemnify the trustee; and\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh506
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj appoint any successor trustee.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh506\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\ql In order to exercise our rights to be discharged, we must deposit with the trustee money or government obligations\plain\cf1\f51\fs20\ql sufficient to pay all the principal of, any premium, if any, and interest on, the debt securities of the series on the dates payments\plain\cf1\f51\fs20\ql are due.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Form, Exchange and Transfer\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql We will issue the debt securities of each series only in fully registered form without coupons and, unless we provide\plain\cf1\f51\fs20\ql otherwise in the applicable prospectus supplement, in denominations of $1,000 and any integral multiple thereof.\~\~The indenture\plain\cf1\f51\fs20\ql provides that we may issue debt securities of a series in temporary or permanent global form and as book-entry securities that\plain\cf1\f51\fs20\ql will be deposited with, or on behalf of, The Depository Trust Company, or DTC, or another depositary named by us and\plain\cf1\f51\fs20\ql identified in the applicable prospectus supplement with respect to that series. To the extent the debt securities of a series are\plain\cf1\f51\fs20\ql issued in global form and as book-entry, a description of terms relating to any book-entry securities will be set forth in the\plain\cf1\f51\fs20\ql applicable prospectus supplement.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql At the option of the holder, subject to the terms of the indenture and the limitations applicable to global securities\plain\cf1\f51\fs20\ql described in the applicable prospectus supplement, the holder of the debt securities of any series can exchange the debt securities\plain\cf1\f51\fs20\ql for other debt securities of the same series, in any authorized denomination and of like tenor and aggregate principal amount.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql Subject to the terms of the indenture and the limitations applicable to global securities set forth in the applicable prospectus\plain\cf1\f51\fs20\ql supplement, holders of the debt securities may present the debt securities for exchange or for registration of transfer, duly\plain\cf1\f51\fs20\ql endorsed or with the form of transfer endorsed thereon duly executed if so required by us or the security registrar, at the office of\plain\cf1\f51\fs20\ql the security registrar or at the office of any transfer agent designated by us for this purpose. Unless otherwise provided in the\plain\cf1\f51\fs20\ql debt securities that the holder presents for transfer or exchange, we will impose no service charge for any registration of transfer\plain\cf1\f51\fs20\ql or exchange, but we may require payment of any taxes or other governmental charges.\par\pard\plain\sb264\cf1\f51\fs20\qc 13\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will name in the applicable prospectus supplement the security registrar, and any transfer agent in addition to the\plain\cf1\f51\fs20\ql security registrar, that we initially designate for any debt securities.\~\~We may at any time designate additional transfer agents or\plain\cf1\f51\fs20\ql rescind the designation of any transfer agent or approve a change in the office through which any transfer agent acts, except that\plain\cf1\f51\fs20\ql we will be required to maintain a transfer agent in each place of payment for the debt securities of each series.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql If we elect to redeem the debt securities of any series, we will not be required to:
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh1125
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj issue, register the transfer of, or exchange any debt securities of that series during a period beginning at\plain\intbl\cf1\f51\fs20\qj the opening of business 15\~days before the day of mailing of a notice of redemption of any debt\plain\intbl\cf1\f51\fs20\qj securities that may be selected for redemption and ending at the close of business on the day of the\plain\intbl\cf1\f51\fs20\qj mailing; or\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh1125\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1978\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs30\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs30\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj register the transfer of or exchange any debt securities so selected for redemption, in whole or in part,\plain\intbl\cf1\f51\fs20\qj except the unredeemed portion of any debt securities we are redeeming in part.\cell{
{\trowd\cellx972\cellx1978\cellx10800\trrh630\row}}}\pard\plain\sb396\cf1\f51\fs20\b\ql Information Concerning the Trustee\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql The trustee, other than during the occurrence and continuance of an event of default under an indenture, undertakes to\plain\cf1\f51\fs20\ql perform only those duties as are specifically set forth in the applicable indenture.\~\~Upon an event of default under an indenture,\plain\cf1\f51\fs20\ql the trustee must use the same degree of care as a prudent person would exercise or use in the conduct of his or her own\plain\cf1\f51\fs20\ql affairs.\~\~Subject to this provision, the trustee is under no obligation to exercise any of the powers given it by the indenture at the\plain\cf1\f51\fs20\ql request of any holder of debt securities unless it is offered reasonable security and indemnity against the costs, expenses and\plain\cf1\f51\fs20\ql liabilities that it might incur.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Payment and Paying Agents\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql Unless we otherwise indicate in the applicable prospectus supplement, we will make payment of the interest on any debt\plain\cf1\f51\fs20\ql securities on any interest payment date to the person in whose name the debt securities, or one or more predecessor securities, are\plain\cf1\f51\fs20\ql registered at the close of business on the regular record date for the interest.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We will pay principal of and any premium and interest on the debt securities of a particular series at the office of the\plain\cf1\f51\fs20\ql paying agents designated by us, except that unless we otherwise indicate in the applicable prospectus supplement, we will make\plain\cf1\f51\fs20\ql interest payments by check that we will mail to the holder or by wire transfer to certain holders. Unless we otherwise indicate in\plain\cf1\f51\fs20\ql the applicable prospectus supplement, we will designate the corporate trust office of the trustee as our sole paying agent for\plain\cf1\f51\fs20\ql payments with respect to debt securities of each series. We will name in the applicable prospectus supplement any other paying\plain\cf1\f51\fs20\ql agents that we initially designate for the debt securities of a particular series. We will maintain a paying agent in each place of\plain\cf1\f51\fs20\ql payment for the debt securities of a particular series.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql All money we pay to a paying agent or the trustee for the payment of the principal of or any premium or interest on any\plain\cf1\f51\fs20\ql debt securities that remains unclaimed at the end of two years after such principal, premium or interest has become due and\plain\cf1\f51\fs20\ql payable will be repaid to us, and the holder of the debt security thereafter may look only to us for payment thereof.\par\pard\plain\sb396\cf1\f51\fs20\b\ql Governing Law\par\pard\plain\sb132\fi528\cf1\f51\fs20\ql The indenture and the debt securities will be governed by and construed in accordance with the internal laws of the State\plain\cf1\f51\fs20\ql of New York, except to the extent that the Trust Indenture Act of 1939 is applicable.{\*\bkmkstart description_warrants_12646843}{\*\bkmkend description_warrants_12646843}\par\pard\plain\sb396\cf1\f51\fs18\b\qc DESCRIPTION OF WARRANTS\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj The following description, together with the additional information we may include in any applicable prospectus\plain\cf1\f51\fs20\qj supplements and free writing prospectuses, summarizes the material terms and provisions of the warrants that we may offer under\plain\cf1\f51\fs20\qj this prospectus, which may consist of warrants to purchase common stock, preferred stock or debt securities and may be issued in\plain\cf1\f51\fs20\qj one or more series.\~\~Warrants may be issued independently or together with common stock, preferred stock or debt securities\plain\cf1\f51\fs20\qj offered by any prospectus supplement, and may be attached to or separate from those securities. While the terms we have\plain\cf1\f51\fs20\qj summarized below will apply generally to any warrants that we may offer under this prospectus, we will describe the particular\plain\cf1\f51\fs20\qj terms of any series of warrants that we may offer in more detail in the applicable prospectus supplement and any applicable free\plain\cf1\f51\fs20\qj writing prospectus. The terms of any warrants offered under a prospectus supplement may differ from the terms described below.\plain\cf1\f51\fs20\qj However, no prospectus supplement will fundamentally change the terms that are set forth in this prospectus or offer a security\plain\cf1\f51\fs20\qj that is not registered and described in this prospectus at the time of its effectiveness.{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We have filed forms of the warrant agreements as exhibits to the registration statement of which this prospectus is a part.\plain\cf1\f51\fs20\qj We will file as exhibits to the registration statement of which this prospectus is a part, or will incorporate by reference from\plain\cf1\f51\fs20\qj reports that we file\par\pard\plain\sb264\cf1\f51\fs20\qc 14\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\qj with the SEC, the form of warrant agreement, if any, including a form of warrant certificate, that describes the terms of the\plain\cf1\f51\fs20\qj particular series of warrants we are offering. The following summaries of material provisions of the warrants and the warrant\plain\cf1\f51\fs20\qj agreements are subject to, and qualified in their entirety by reference to, all the provisions of the warrant agreement and warrant\plain\cf1\f51\fs20\qj certificate applicable to the particular series of warrants that we may offer under this prospectus. We urge you to read the\plain\cf1\f51\fs20\qj applicable prospectus supplements related to the particular series of warrants that we may offer under this prospectus, as well as\plain\cf1\f51\fs20\qj any related free writing prospectuses, and the complete warrant agreements and warrant certificates that contain the terms of the\plain\cf1\f51\fs20\qj warrants.\par\pard\plain\sb396\cf1\f51\fs20\b\qj General\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj We will describe in the applicable prospectus supplement the terms relating to a series of warrants being offered, including:
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the title of such securities;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the offering price or prices and aggregate number of warrants offered;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the currency or currencies for which the warrants may be purchased;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if applicable, the designation and terms of the securities with which the warrants are issued and the number\plain\intbl\cf1\f51\fs20\qj of warrants issued with each such security or each principal amount of such security;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if applicable, the date on and after which the warrants and the related securities will be separately\plain\intbl\cf1\f51\fs20\qj transferable;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if applicable, the minimum or maximum amount of such warrants which my be exercised at any one time;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj in the case of warrants to purchase debt securities, the principal amount of debt securities purchasable upon\plain\intbl\cf1\f51\fs20\qj exercise of one warrant and the price at which, and currency in which, this principal amount of debt\plain\intbl\cf1\f51\fs20\qj securities may be purchased upon such exercise;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj in the case of warrants to purchase common stock or preferred stock, the number of shares of common stock\plain\intbl\cf1\f51\fs20\qj or preferred stock, as the case may be, purchasable upon the exercise of one warrant and the price at which,\plain\intbl\cf1\f51\fs20\qj and the currency in which, these shares may be purchased upon such exercise;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the effect of any merger, consolidation, sale or other disposition of our business on the warrant agreements\plain\intbl\cf1\f51\fs20\qj and the warrants;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the terms of any rights to redeem or call the warrants;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the terms of any rights to force the exercise of the warrants;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any provisions for changes to or adjustments in the exercise price or number of securities issuable upon\plain\intbl\cf1\f51\fs20\qj exercise of the warrants;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the dates on which the right to exercise the warrants will commence and expire;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the manner in which the warrant agreements and warrants may be modified;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj a discussion of any material or special United States federal income tax consequences of holding or\plain\intbl\cf1\f51\fs20\qj exercising the warrants;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the terms of the securities issuable upon exercise of the warrants; and\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any other specific terms, preferences, rights or limitations of or restrictions on the warrants.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj Before exercising their warrants, holders of warrants will not have any of the rights of holders of the securities purchasable\plain\cf1\f51\fs20\qj upon such exercise, including:
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj in the case of warrants to purchase debt securities, the right to receive payments of principal of, or premium,\plain\intbl\cf1\f51\fs20\qj if any, or interest on, the debt securities purchasable upon exercise or to enforce covenants in the applicable\plain\intbl\cf1\f51\fs20\qj indenture; or\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj in the case of warrants to purchase common stock or preferred stock, the right to receive dividends, if any,\plain\intbl\cf1\f51\fs20\qj or, payments upon our liquidation, dissolution or winding up or to exercise voting rights, if any.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}\pard\plain\sb396\cf1\f51\fs20\b\qj Exercise of Warrants\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj Each warrant will entitle the holder to purchase the securities that we specify in the applicable prospectus supplement at the\plain\cf1\f51\fs20\qj exercise price that we describe in the applicable prospectus supplement. Unless we otherwise specify in the applicable prospectus\plain\cf1\f51\fs20\qj supplement, holders of the warrants may exercise the warrants at any time up to the specified time on the expiration date that we\plain\cf1\f51\fs20\qj set forth in the applicable prospectus supplement. After the close of business on the expiration date, unexercised warrants will\plain\cf1\f51\fs20\qj become void.\par\pard\plain\sb264\cf1\f51\fs20\qc 15\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Unless we otherwise specify in the applicable prospectus supplement, holders of the warrants may exercise the warrants by\plain\cf1\f51\fs20\qj delivering the warrant certificate representing the warrants to be exercised together with specified information, and paying the\plain\cf1\f51\fs20\qj required amount to the warrant agent in immediately available funds, as provided in the applicable prospectus supplement. We\plain\cf1\f51\fs20\qj will set forth on the reverse side of the warrant certificate and in the applicable prospectus supplement the information that the\plain\cf1\f51\fs20\qj holder of the warrant will be required to deliver to the warrant agent in connection with the exercise of the warrant.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Upon receipt of the required payment and the warrant certificate properly completed and duly executed at the corporate\plain\cf1\f51\fs20\qj trust office of the warrant agent or any other office indicated in the applicable prospectus supplement, we will issue and deliver\plain\cf1\f51\fs20\qj the securities purchasable upon such exercise. If fewer than all of the warrants represented by the warrant certificate are\plain\cf1\f51\fs20\qj exercised, then we will issue a new warrant certificate for the remaining amount of warrants. If we so indicate in the applicable\plain\cf1\f51\fs20\qj prospectus supplement, holders of the warrants may surrender securities as all or part of the exercise price for warrants.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Governing Law\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj Unless we provide otherwise in the applicable prospectus supplement, the warrants and warrant agreements, and any claim,\plain\cf1\f51\fs20\qj controversy or dispute arising under or related to the warrants or warrant agreements, will be governed by and construed in\plain\cf1\f51\fs20\qj accordance with the laws of the State of New York.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Enforceability of Rights by Holders of Warrants\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj Each warrant agent will act solely as our agent under the applicable warrant agreement and will not assume any obligation\plain\cf1\f51\fs20\qj or relationship of agency or trust with any holder of any warrant.\~\~A single bank or trust company may act as warrant agent for\plain\cf1\f51\fs20\qj more than one issue of warrants.\~\~A warrant agent will have no duty or responsibility in case of any default by us under the\plain\cf1\f51\fs20\qj applicable warrant agreement or warrant, including any duty or responsibility to initiate any proceedings at law or otherwise, or\plain\cf1\f51\fs20\qj to make any demand upon us.\~\~Any holder of a warrant may, without the consent of the related warrant agent or the holder of\plain\cf1\f51\fs20\qj any other warrant, enforce by appropriate legal action its right to exercise, and receive the securities purchasable upon exercise\plain\cf1\f51\fs20\qj of, its warrants.{\*\bkmkstart legal_ownership_securities_12646}{\*\bkmkend legal_ownership_securities_12646}\par\pard\plain\sb396\cf1\f51\fs18\b\qc LEGAL OWNERSHIP OF SECURITIES\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We can issue securities in registered form or in the form of one or more global securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We describe global securities in\plain\cf1\f51\fs20\qj greater detail below\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We refer to those persons who have securities registered in their own names on the books that we or any\plain\cf1\f51\fs20\qj applicable trustee or depositary maintain for this purpose as the \u8220?holders\u8221? of those securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj These persons are the\plain\cf1\f51\fs20\qj legal holders of the securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We refer to those persons who, indirectly through others, own beneficial interests in securities that\plain\cf1\f51\fs20\qj are not registered in their own names, as \u8220?indirect holders\u8221? of those securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj As we discuss below, indirect\plain\cf1\f51\fs20\qj holders are not legal holders, and investors in securities issued in book-entry form or in street name will be indirect holders.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Book-Entry Holders\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj We may issue securities in book-entry form only, as we will specify in the applicable prospectus supplement\plain\cf3\f51\fs20\qj .\plain\cf1\f51\fs20\qj This means\plain\cf1\f51\fs20\qj securities may be represented by one or more global securities registered in the name of a financial institution that holds them as\plain\cf1\f51\fs20\qj depositary on behalf of other financial institutions that participate in the depositary\u8217?s book-entry system\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj These\plain\cf1\f51\fs20\qj participating institutions, which are referred to as participants, in turn, hold beneficial interests in the securities on behalf of\plain\cf1\f51\fs20\qj themselves or their customers.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Only the person in whose name a security is registered is recognized as the holder of that security\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Global securities will\plain\cf1\f51\fs20\qj be registered in the name of the depositary or its participants\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Consequently, for global securities, we will recognize only the\plain\cf1\f51\fs20\qj depositary as the holder of the securities, and we will make all payments on the securities to the depositary\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj The depositary\plain\cf1\f51\fs20\qj passes along the payments it receives to its participants, which in turn pass the payments along to their customers who are the\plain\cf1\f51\fs20\qj beneficial owners\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj The depositary and its participants do so under agreements they have made with one another or with their\plain\cf1\f51\fs20\qj customers; they are not obligated to do so under the terms of the securities.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj As a result, investors in a global security will not own securities directly\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Instead, they will own beneficial interests in a\plain\cf1\f51\fs20\qj global security, through a bank, broker or other financial institution that participates in the depositary\u8217?s book-entry system\plain\cf1\f51\fs20\qj or holds an interest through a participant\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj As long as the securities are issued in global form, investors will be indirect holders,\plain\cf1\f51\fs20\qj and not legal holders, of the securities.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Street Name Holders{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj A global security may be terminated in certain situations as described under \u8220?\u8212?Special Situations When A\plain\cf1\f51\fs20\qj Global Security Will Be Terminated,\u8221? or issue securities that are not issued in global form\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj In these cases, investors may\plain\cf1\f51\fs20\qj choose to hold their securities in\par\pard\plain\sb264\cf1\f51\fs20\qc 16\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb132\cf1\f51\fs20\qj their own names or in \u8220?street name.\u8221? Securities held by an investor in street name would be registered in the name\plain\cf1\f51\fs20\qj of a bank, broker or other financial institution that the investor chooses, and the investor would hold only a beneficial interest in\plain\cf1\f51\fs20\qj those securities through an account he or she maintains at that institution.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj For securities held in street name, we or any applicable trustee or depositary will recognize only the intermediary banks,\plain\cf1\f51\fs20\qj brokers and other financial institutions in whose names the securities are registered as the holders of those securities, and we or\plain\cf1\f51\fs20\qj any such trustee or depositary will make all payments on those securities to them\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj These institutions pass along the payments\plain\cf1\f51\fs20\qj they receive to their customers who are the beneficial owners, but only because they agree to do so in their customer agreements\plain\cf1\f51\fs20\qj or because they are legally required to do so\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Investors who hold securities in street name will be indirect holders, not holders,\plain\cf1\f51\fs20\qj of those securities.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Legal Holders\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj Our obligations, as well as the obligations of any applicable trustee or third party employed by us or a trustee, run only to\plain\cf1\f51\fs20\qj the legal holders of the securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We do not have obligations to investors who hold beneficial interests in global securities, in\plain\cf1\f51\fs20\qj street name or by any other indirect means\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj This will be the case whether an investor chooses to be an indirect holder of a\plain\cf1\f51\fs20\qj security or has no choice because we are issuing the securities only in global form.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj For example, once we make a payment or give a notice to the legal holder, we have no further responsibility for the\plain\cf1\f51\fs20\qj payment or notice even if that legal holder is required, under agreements with its participants or customers or by law, to pass it\plain\cf1\f51\fs20\qj along to the indirect holders but does not do so\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Similarly, we may want to obtain the approval of the holders to amend an\plain\cf1\f51\fs20\qj indenture, to relieve us of the consequences of a default or of our obligation to comply with a particular provision of an\plain\cf1\f51\fs20\qj indenture, or for other purposes\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj In such an event, we would seek approval only from the legal holders, and not the indirect\plain\cf1\f51\fs20\qj holders, of the securities\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Whether and how the legal holders contact the indirect holders is up to the legal holders.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Special Considerations for Indirect Holders\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj If you hold securities through a bank, broker or other financial institution, either in book-entry form because the securities\plain\cf1\f51\fs20\qj are represented by one or more global securities or in street name, you should check with your own institution to find out:
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{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj how it handles securities payments and notices;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether it imposes fees or charges;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj how it would handle a request for the holders\u8217? consent, if ever required;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj whether and how you can instruct it to send you securities registered in your own name so you can be a\plain\intbl\cf1\f51\fs20\qj holder, if that is permitted in the future;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj how it would exercise rights under the securities if there were a default or other event triggering the need for\plain\intbl\cf1\f51\fs20\qj holders to act to protect their interests; and\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if the securities are in book-entry form, how the depositary\u8217?s rules and procedures will affect these\plain\intbl\cf1\f51\fs20\qj matters.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}\pard\plain\sb396\cf1\f51\fs20\b\qj Global Securities\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj A global security is a security that represents one or any other number of individual securities held by a\plain\cf1\f51\fs20\qj depositary\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Generally, all securities represented by the same global securities will have the same terms.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Each security issued in book-entry form will be represented by a global security that we issue to, deposit with and register\plain\cf1\f51\fs20\qj in the name of a financial institution or its nominee that we select\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj The financial institution that we select for this purpose is\plain\cf1\f51\fs20\qj called the depositary\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Unless we specify otherwise in the applicable prospectus supplement, The Depository Trust Company,\plain\cf1\f51\fs20\qj New York, New York, known as DTC, will be the depositary for all securities issued in book-entry form.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj A global security may not be transferred to or registered in the name of anyone other than the depositary, its nominee or a\plain\cf1\f51\fs20\qj successor depositary, unless special termination situations arise\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We describe those situations below under \u8220?\u8212?Special\plain\cf1\f51\fs20\qj Situations When A Global Security Will Be Terminated.\u8221? As a result of these arrangements, the depositary, or its nominee,\plain\cf1\f51\fs20\qj will be the sole registered owner and legal holder of all securities represented by a global security, and investors will be\plain\cf1\f51\fs20\qj permitted to own only beneficial interests in a global security\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Beneficial interests must be held by means of an account with a\plain\cf1\f51\fs20\qj broker, bank or other financial institution that in turn has an account with the depositary or with another institution that\plain\cf1\f51\fs20\qj does\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Thus, an investor whose security is represented by a global security will not be a legal holder of the security, but only an\plain\cf1\f51\fs20\qj indirect holder of a beneficial interest in the global security.\par\pard\plain\sb264\cf1\f51\fs20\qc 17\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj If the prospectus supplement for a particular security indicates that the security will be issued as a global security, then the\plain\cf1\f51\fs20\qj security will be represented by a global security at all times unless and until the global security is terminated\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj If termination\plain\cf1\f51\fs20\qj occurs, we may issue the securities through another book-entry clearing system or decide that the securities may no longer be\plain\cf1\f51\fs20\qj held through any book-entry clearing system.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Special Considerations For Global Securities\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj As an indirect holder, an investor\u8217?s rights relating to a global security will be governed by the account rules of the\plain\cf1\f51\fs20\qj investor\u8217?s financial institution and of the depositary, as well as general laws relating to securities transfers\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We do not\plain\cf1\f51\fs20\qj recognize an indirect holder as a holder of securities and instead deal only with the depositary that holds the global security.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj If securities are issued only as global securities, an investor should be aware of the following:
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj an investor cannot cause the securities to be registered in his or her name, and cannot obtain non-global\plain\intbl\cf1\f51\fs20\qj certificates for his or her interest in the securities, except in the special situations we describe below;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj an investor will be an indirect holder and must look to his or her own bank or broker for payments on the\plain\intbl\cf1\f51\fs20\qj securities and protection of his or her legal rights relating to the securities, as we describe above;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj an investor may not be able to sell interests in the securities to some insurance companies and to other\plain\intbl\cf1\f51\fs20\qj institutions that are required by law to own their securities in non-book-entry form;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj an investor may not be able to pledge his or her interest in the global security in circumstances where\plain\intbl\cf1\f51\fs20\qj certificates representing the securities must be delivered to the lender or other beneficiary of the pledge in\plain\intbl\cf1\f51\fs20\qj order for the pledge to be effective;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the depositary\u8217?s policies, which may change from time to time, will govern payments, transfers,\plain\intbl\cf1\f51\fs20\qj exchanges and other matters relating to an investor\u8217?s interest in the global security\plain\intbl\cf3\f51\fs20\qj ;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj we and any applicable trustee have no responsibility for any aspect of the depositary\u8217?s actions or for\plain\intbl\cf1\f51\fs20\qj its records of ownership interests in the global security, nor will we or any applicable trustee supervise the\plain\intbl\cf1\f51\fs20\qj depositary in any way;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the depositary may, and we understand that DTC will, require that those who purchase and sell interests in\plain\intbl\cf1\f51\fs20\qj the global security within its book-entry system use immediately available funds, and your broker or bank\plain\intbl\cf1\f51\fs20\qj may require you to do so as well; and\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh878
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj financial institutions that participate in the depositary\u8217?s book-entry system, and through which an\plain\intbl\cf1\f51\fs20\qj investor holds its interest in the global security, may also have their own policies affecting payments, notices\plain\intbl\cf1\f51\fs20\qj and other matters relating to the securities\plain\intbl\cf3\f51\fs20\qj .\~\~\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj There may be more than one financial intermediary in the chain of ownership for an investor\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We do not monitor and are\plain\cf1\f51\fs20\qj not responsible for the actions of any of those intermediaries.\par\pard\plain\sb396\cf1\f51\fs20\b\qj Special Situations When A Global Security Will Be Terminated\par\pard\plain\sb132\fi528\cf1\f51\fs20\qj In a few special situations described below, a global security will terminate and interests in it will be exchanged for\plain\cf1\f51\fs20\qj physical certificates representing those interests\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj After that exchange, the choice of whether to hold securities directly or in street\plain\cf1\f51\fs20\qj name will be up to the investor\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj Investors must consult their own banks or brokers to find out how to have their interests in\plain\cf1\f51\fs20\qj securities transferred to their own names, so that they will be direct holders\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj We have described the rights of holders and street\plain\cf1\f51\fs20\qj name investors above.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj A global security will terminate when the following special situations occur:
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if the depositary notifies us that it is unwilling, unable or no longer qualified to continue as depositary for\plain\intbl\cf1\f51\fs20\qj that global security and we do not appoint another institution to act as depositary within 90 days;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
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{\trowd\cellx972\cellx1656\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if we notify any applicable trustee that we wish to terminate that global security; or\cell{
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{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj if an event of default has occurred with regard to securities represented by that global security and has not\plain\intbl\cf1\f51\fs20\qj been cured or waived.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj The applicable prospectus supplement may also list additional situations for terminating a global security that would apply\plain\cf1\f51\fs20\qj only to the particular series of securities covered by the prospectus supplement\plain\cf3\f51\fs20\qj .\~\~\plain\cf1\f51\fs20\qj When a global security terminates, the\plain\cf1\f51\fs20\qj depositary, and neither we nor any applicable trustee, is responsible for deciding the names of the institutions that will be the\plain\cf1\f51\fs20\qj initial direct holders.\par\pard\plain\sb264\cf1\f51\fs20\qc 18\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart plan_distribution_12646843}{\*\bkmkend plan_distribution_12646843}\par\pard\plain\sb396\cf1\f51\fs18\b\qc PLAN OF DISTRIBUTION\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may sell the securities from time to time pursuant to underwritten public offerings, negotiated transactions, block trades\plain\cf1\f51\fs20\qj or a combination of these methods. We may sell the securities to or through underwriters or dealers, through agents, or directly\plain\cf1\f51\fs20\qj to one or more purchasers. We may distribute securities from time to time in one or more transactions:
\par\pard\plain
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\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
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\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh382
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{\trowd\cellx972\cellx1656\cellx10800\trrh382
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{\trowd\cellx972\cellx1656\cellx10800\trrh382\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may also sell equity securities covered by this registration statement in an \u8220?at the market offering\u8221? as\plain\cf1\f51\fs20\qj defined in Rule 415 under the Securities Act.\~\~Such offering may be made into an existing trading market for such securities in\plain\cf1\f51\fs20\qj transactions at other than a fixed price, either:
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj on or through the facilities of the Nasdaq Capital Market or any other securities exchange or quotation or\plain\intbl\cf1\f51\fs20\qj trading service on which such securities may be listed, quoted or traded at the time of sale; and/or\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj to or through a market maker other than on the Nasdaq Capital Market or such other securities exchanges or\plain\intbl\cf1\f51\fs20\qj quotation or trading services.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj Such at-the-market offerings, if any, may be conducted by underwriters acting as principal or agent.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj A prospectus supplement or supplements (and any related free writing prospectus that we may authorize to be provided to\plain\cf1\f51\fs20\qj you) will describe the terms of the offering of the securities, including, to the extent applicable:
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the name or names of any underwriters, dealers or agents, if any;\cell{
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\par\pard\plain
{\trowd\cellx1404\cellx2088\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the purchase price of the securities and the proceeds we will receive from the sale;\cell{
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\par\pard\plain
{\trowd\cellx1404\cellx2088\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any over-allotment options under which underwriters may purchase additional securities from us;\cell{
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{\trowd\cellx1404\cellx2088\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any agency fees or underwriting discounts and other items constituting agents\u8217? or\plain\intbl\cf1\f51\fs20\qj underwriters\u8217? compensation;\cell{
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\par\pard\plain
{\trowd\cellx1404\cellx2088\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any public offering price;\cell{
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\par\pard\plain
{\trowd\cellx1404\cellx2088\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any discounts or concessions allowed or reallowed or paid to dealers; and\cell{
{\trowd\cellx1404\cellx2088\cellx10800\trrh382\row}}}
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{\trowd\cellx1404\cellx2088\cellx10800\trrh382
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj any securities exchange or market on which the securities may be listed.\cell{
{\trowd\cellx1404\cellx2088\cellx10800\trrh382\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj Only underwriters named in the prospectus supplement are underwriters of the securities offered by the prospectus\plain\cf1\f51\fs20\qj supplement.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj If underwriters are used in the sale, they will acquire the securities for their own account and may resell the securities from\plain\cf1\f51\fs20\qj time to time in one or more transactions at a fixed public offering price or at varying prices determined at the time of sale.\~\~The\plain\cf1\f51\fs20\qj obligations of the underwriters to purchase the securities will be subject to the conditions set forth in the applicable underwriting\plain\cf1\f51\fs20\qj agreement.\~\~We may offer the securities to the public through underwriting syndicates represented by managing underwriters or\plain\cf1\f51\fs20\qj by underwriters without a syndicate.\~\~Subject to certain conditions, the underwriters will be obligated to purchase all of the\plain\cf1\f51\fs20\qj securities offered by the prospectus supplement.\~\~Any public offering price and any discounts or concessions allowed or reallowed\plain\cf1\f51\fs20\qj or paid to dealers may change from time to time.\~\~We may use underwriters with whom we have a material relationship.\~\~We will\plain\cf1\f51\fs20\qj describe in the prospectus supplement, naming the underwriter, the nature of any such relationship.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may sell securities directly or through agents we designate from time to time.\~\~We will name any agent involved in the\plain\cf1\f51\fs20\qj offering and sale of securities, and we will describe any commissions we will pay the agent in the prospectus supplement.\~\~Unless\plain\cf1\f51\fs20\qj the prospectus supplement states otherwise, our agent will act on a best-efforts basis for the period of its appointment.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may authorize agents or underwriters to solicit offers by certain types of institutional investors to purchase securities\plain\cf1\f51\fs20\qj from us at the public offering price set forth in the prospectus supplement pursuant to delayed delivery contracts providing for\plain\cf1\f51\fs20\qj payment and delivery on a specified date in the future.\~\~We will describe the conditions to these contracts and the commissions\plain\cf1\f51\fs20\qj we must pay for solicitation of these contracts in the prospectus supplement.\par\pard\plain\sb264\cf1\f51\fs20\qc 19\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We may provide agents and underwriters with indemnification against civil liabilities related to this offering, including\plain\cf1\f51\fs20\qj liabilities under the Securities Act, or contribution with respect to payments that the agents or underwriters may make with\plain\cf1\f51\fs20\qj respect to these liabilities.\~\~Agents and underwriters may engage in transactions with, or perform services for, us in the ordinary\plain\cf1\f51\fs20\qj course of business.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj All securities we offer, other than common stock, will be new issues of securities with no established trading market.\~\~Any\plain\cf1\f51\fs20\qj underwriters may make a market in these securities, but will not be obligated to do so and may discontinue any market making at\plain\cf1\f51\fs20\qj any time without notice.\~\~We cannot guarantee the liquidity of the trading markets for any securities.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Any underwriter may engage in overallotment, stabilizing transactions, short covering transactions and penalty\plain\cf1\f51\fs20\qj bids.\~\~Overallotment involves sales in excess of the offering size, which create a short position.\~\~Stabilizing transactions permit\plain\cf1\f51\fs20\qj bids to purchase the underlying security so long as the stabilizing bids do not exceed a specified maximum.\~\~Short covering\plain\cf1\f51\fs20\qj transactions involve purchases of the securities in the open market after the distribution is completed to cover short\plain\cf1\f51\fs20\qj positions.\~\~Penalty bids permit the underwriters to reclaim a selling concession from a dealer when the securities originally sold\plain\cf1\f51\fs20\qj by the dealer are purchased in a stabilizing or covering transaction to cover short positions.\~\~Those activities may cause the price\plain\cf1\f51\fs20\qj of the securities to be higher than it would otherwise be.\~\~If commenced, the underwriters may discontinue any of the activities at\plain\cf1\f51\fs20\qj any time.\~\~These transactions may be effected on any exchange or over-the-counter market or otherwise.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Any underwriters who are qualified market makers on the Nasdaq Capital Market may engage in passive market making\plain\cf1\f51\fs20\qj transactions in the securities on the Nasdaq Capital Market in accordance with Rule 103 of Regulation M, during the business\plain\cf1\f51\fs20\qj day prior to the pricing of the offering, before the commencement of offers or sales of the securities.\~\~Passive market makers\plain\cf1\f51\fs20\qj must comply with applicable volume and price limitations and must be identified as passive market makers.\~\~In general, a passive\plain\cf1\f51\fs20\qj market maker must display its bid at a price not in excess of the highest independent bid for such security; if all independent\plain\cf1\f51\fs20\qj bids are lowered below the passive market maker\u8217?s bid, however, the passive market maker\u8217?s bid must then be\plain\cf1\f51\fs20\qj lowered when certain purchase limits are exceeded. Passive market making may stabilize the market price of the securities at a\plain\cf1\f51\fs20\qj level above that which might otherwise prevail in the open market and, if commenced, may be discontinued at any time.{\*\bkmkstart legal_matters_12646843}{\*\bkmkend legal_matters_12646843}\par\pard\plain\sb396\cf1\f51\fs18\b\qc LEGAL MATTERS\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Unless otherwise indicated in the applicable prospectus supplement, certain legal matters in connection with the offering\plain\cf1\f51\fs20\qj and the validity of the securities offered by this prospectus, and any supplement thereto, will be passed upon by Cooley LLP.\~\~{\*\bkmkstart experts_12646843}{\*\bkmkend experts_12646843}\par\pard\plain\sb396\cf1\f51\fs18\b\qc EXPERTS\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Mayer Hoffman McCann P.C., our independent registered public accounting firm, has audited our balance sheets as of\plain\cf1\f51\fs20\qj December 31, 2016 and 2017, and the related statements of operations and comprehensive loss, changes in shareholders\u8217?\plain\cf1\f51\fs20\qj equity and cash flows for each of the two years in the period ended December 31, 2017, as set forth in their report. We have\plain\cf1\f51\fs20\qj incorporated by reference our financial statements in this prospectus and in this registration statement in reliance on the report of\plain\cf1\f51\fs20\qj Mayer Hoffman McCann P.C. given on their authority as experts in accounting and auditing.{\*\bkmkstart where_you_can_find_more_informat}{\*\bkmkend where_you_can_find_more_informat}\par\pard\plain\sb396\cf1\f51\fs18\b\qc WHERE YOU CAN FIND MORE INFORMATION\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj This prospectus is part of a registration statement we filed with the SEC. This prospectus does not contain all of the\plain\cf1\f51\fs20\qj information set forth in the registration statement and the exhibits to the registration statement.\~\~For further information with\plain\cf1\f51\fs20\qj respect to us and the securities we are offering under this prospectus, we refer you to the registration statement and the exhibits\plain\cf1\f51\fs20\qj and schedules filed as a part of the registration statement.\~\~Neither we nor any agent, underwriter or dealer has authorized any\plain\cf1\f51\fs20\qj person to provide you with different information. We are not making an offer of these securities in any state where the offer is\plain\cf1\f51\fs20\qj not permitted. You should not assume that the information in this prospectus is accurate as of any date other than the date on the\plain\cf1\f51\fs20\qj front page of this prospectus, regardless of the time of delivery of this prospectus or any sale of the securities offered by this\plain\cf1\f51\fs20\qj prospectus.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We file annual, quarterly and current reports, proxy statements and other information with the SEC. You may read and\plain\cf1\f51\fs20\ql copy the registration statement, as well as any other document filed by us with the SEC, at the SEC\u8217?s Public Reference\plain\cf1\f51\fs20\ql Room at 100 F Street NE, Washington, D.C. 20549. You can also request copies of these documents by writing to the SEC and\plain\cf1\f51\fs20\ql paying a fee for the copying cost.\~\~You may obtain information on the operation of the Public Reference Room by calling the\plain\cf1\f51\fs20\ql SEC at (800) SEC-0330. The SEC maintains a website that contains reports, proxy statements and other information regarding\plain\cf1\f51\fs20\ql issuers that file electronically with the SEC, including Biocept. The address of the SEC website is www.sec.gov.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql We maintain a website at www.biocept.com. Information contained in or accessible through our website does not constitute\plain\cf1\f51\fs20\ql a part of this prospectus.\par\pard\plain\sb264\cf1\f51\fs20\qc 20\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
\page\par\pard\plain\cf1\f51\fs22\ql \~{\*\bkmkstart _aeioulastrenderedpagebreakaeiou}{\*\bkmkend _aeioulastrenderedpagebreakaeiou}{\*\bkmkstart incorporation_certain_informatio}{\*\bkmkend incorporation_certain_informatio}\par\pard\plain\sb396\cf1\f51\fs18\b\qc INCORPORATION OF CERTAIN INFORMATION BY REFERENCE\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The SEC allows us to \u8220?incorporate by reference\u8221? information into this prospectus, which means that we can\plain\cf1\f51\fs20\ql disclose important information to you by referring you to another document filed separately with the SEC. The SEC file number\plain\cf1\f51\fs20\ql for the documents incorporated by reference in this prospectus is 001-36284. The documents incorporated by reference into this\plain\cf1\f51\fs20\ql prospectus contain important information that you should read about us.\par\pard\plain\sb264\fi528\cf1\f51\fs20\ql The following documents are incorporated by reference into this document:
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our Annual Report on Form 10-K for the fiscal year ended December 31, 2017 and filed with the SEC on\plain\intbl\cf1\f51\fs20\qj March 28, 2018, as amended by the Annual Report on Form 10-K/A filed with the SEC on April 30, 2018;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj our Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2018 and filed with the SEC\plain\intbl\cf1\f51\fs20\qj on May 15, 2018;\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
{\trowd\cellx972\cellx1656\cellx10800\trrh630
\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the Current Reports on Form 8-K (other than information furnished rather than filed) filed with the SEC on\plain\intbl\cf1\f51\fs20\qj January 23, 2018, January 30, 2018, February 12, 2018, and April 6, 2018; and\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh630\row}}}
\par\pard\plain
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\pard\plain\intbl\sb132\cf1\f51\fs20\qj \~\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj \u8226?\cell\pard\plain\intbl\sb132\cf1\f51\fs20\qj the description of our common stock, which is registered under Section 12 of the Exchange Act, in our\plain\intbl\cf1\f51\fs20\qj registration statement on Form 8-A, filed with the SEC on April 5, 2013, including any amendments or\plain\intbl\cf1\f51\fs20\qj reports filed for the purpose of updating such description.\cell{
{\trowd\cellx972\cellx1656\cellx10800\trrh878\row}}}\pard\plain\sb264\fi528\cf1\f51\fs20\qj We also incorporate by reference into this prospectus all documents (other than current reports furnished under Item 2.02 or\plain\cf1\f51\fs20\qj Item 7.01 of Form 8-K and exhibits filed on such form that are related to such items) that are filed by us with the SEC pursuant\plain\cf1\f51\fs20\qj to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (i) after the date of the initial filing of the registration statement of\plain\cf1\f51\fs20\qj which this prospectus forms a part and prior to effectiveness of the registration statement, or (ii) after the date of this prospectus\plain\cf1\f51\fs20\qj but prior to the termination of the offering. These documents include periodic reports, such as Annual Reports on Form 10-K,\plain\cf1\f51\fs20\qj Quarterly Reports on Form 10-Q and Current Reports on Form 8-K, as well as proxy statements.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj We will provide to each person, including any beneficial owner, to whom a prospectus is delivered, without charge upon\plain\cf1\f51\fs20\qj written or oral request, a copy of any or all of the documents that are incorporated by reference into this prospectus but not\plain\cf1\f51\fs20\qj delivered with the prospectus, including exhibits which are specifically incorporated by reference into such documents. You\plain\cf1\f51\fs20\qj should direct any requests for documents by writing us at 5810 Nancy Ridge Drive, San Diego, CA 92121 or telephoning us at\plain\cf1\f51\fs20\qj (858) 320-8200.\par\pard\plain\sb264\fi528\cf1\f51\fs20\qj Any statement contained herein or in a document incorporated or deemed to be incorporated by reference into this\plain\cf1\f51\fs20\qj document will be deemed to be modified or superseded for purposes of the document to the extent that a statement contained in\plain\cf1\f51\fs20\qj this document or any other subsequently filed document that is deemed to be incorporated by reference into this document\plain\cf1\f51\fs20\qj modifies or supersedes the statement.{\*\bkmkstart disclosure_commission_position_o}{\*\bkmkend disclosure_commission_position_o}\par\pard\plain\sb396\cf1\f51\fs20\b\qc DISCLOSURE OF COMMISSION POSITION ON INDEMNIFICATION FOR\par\pard\plain\cf1\f51\fs20\b\qc SECURITIES ACT LIABILITY\par\pard\plain\sb264\fi396\cf1\f51\fs20\ql Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers or persons\plain\cf1\f51\fs20\ql controlling the registrant pursuant to the DGCL, the registrant has been informed that in the opinion of the SEC such\plain\cf1\f51\fs20\ql indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable.\par\pard\plain\sb264\fi396\cf1\f51\fs20\ql \~\par\pard\plain\cf1\f51\fs22\ql \~\par\pard\plain\sb264\cf1\f51\fs20\qc 21\par\pard\plain\f0\fs4\par\pard\plain\f0\fs2\brdrt\brdrs\brdrw15\brdrcf2\brdrsp0\par\pard\plain\f0\fs4\par
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